RICHARD HANS BACH
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/22/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Westor Capital Group, Inc. (CRD No. 103823), and Richard Hans Bach (CRD No. 1011097), Respondents. DISCIPLINARY PROCEEDING No. 2012031479601 NOTICE OF INITIATION OF PROCEEDING SEEKING A TEMPORARY CEASE AND DESIST ORDER UNDER FINRA RULE 9810 The Department of Enforcement, pursuant to FINRA Code of Procedure Rule 9810, hereby notifies Respondents Westor Capital Group, Inc. ("Westor" or the "Firm")
01/22/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Westor Capital Group, Inc. (CRD No. 103823), and Richard Hans Bach (CRD No. 1011097), Respondents. DISCIPLINARY PROCEEDING No. 2012031479601 Hearing Officer - REQUEST FOR EXPEDITED HEARING COMPLAINT The Department of Enforcement ("Enforcement") alleges: Summary 1. This case involves ongoing conversion or misuse of customer funds, misuse of customer securities, as well as failure to maintain
Reference 2012031479601data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1011097 |
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