ANDREW J. LONGORIA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/28/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANDREW J. LONGORIA (CRD No. 2299271), Respondent. Disciplinary Proceeding No. 2009019969101 Hearing Officer - MC DEFAULT DECISION July 28, 2011 Respondent is barred from associating with any FINRA member firm in any capacity for: (i) misusing customer funds, in violation of FINRA Conduct Rule 2010 and NASD Conduct
03/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Andrew J. Longoria (CRD No. 2299271), Respondent. DISCIPLINARY PROCEEDING NO. 2009019969101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Andrew J. Longoria ("Longoria") misused.a total of $17,000 entrusted to him by two clients in February and April 2009 for investment purposes. He never invested the funds
Reference 2009019969101data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2299271

Other names1

Also known as1

ANDREW JOSEPH LONGORIA

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