BUKA UZOMA NWIGWE

11/12/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BUKA UZOMA NWIGWE (CRD No. 5289362), Respondent. Disciplinary Proceeding No. 2009019332001 Hearing Officer-MAD DEFAULT DECISION November 12, 2010 Respondent is barred from associating with any member firm in any capacity for misappropriating customer funds, in violation of Conduct Rule 2010. Appearances David L. Fenimore, Senior Counsel, Washington, D.C., for the Department of Enforcement. No

07/16/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Buka Uzoma Nwigwe (CRD No. 5289362), Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On or about April 7, 2009, Buka Uzoma Nwigwe, a registered representative with Chase Investment Services Corp. ("CISC" or the "Firm"), who worked as a personal banker for the Firm's affiliate, JPMorgan Chase Bank, NA ("Chase Bank"), requested a credit card for customer L.T. and had it sent to

Reference 2009019332001data-portal.finra.orgfinra.orgdata-portal.finra.org