EDUARDO GUILLERMO DIAZ
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/28/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Eduardo Guillermo Diaz (CRD No. 1621873), Respondent. DISCIPLINARY PROCEEDING No. 2012034594402 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Eduardo Guillermo Diaz ("Diaz"), at all relevant times herein, was associated with NEXT Financial Group, Inc. ("NEXT Financial"). AH is
04/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Eduardo Guillermo Diaz (CRD No. 1621873), Respondent. DISCIPLINARY PROCEEDING No. 2012034594402 HEARING OFFICER - RLP ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 30, 2014 INTRODUCTION Disciplinary Proceeding No. 2012034594402 was filed on June 28, 2013 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Eduardo Guillermo
Reference 2012034594402data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1621873 |
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