RONNIE BEN-ARON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/26/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RONNIE BEN-ARON (CRD No. 2980331), Respondent. Disciplinary Proceeding No. 2006005730201 DEFAULT DECISION Hearing Officer -SW Date: November 26, 2007 Respondent was barred for violating NASD Procedural Rule 8210 and NASD Conduct Rule 2110 by failing to appear for an on-the-record interview and failing to respond to requests for information issued by the FINRA staff. No separate sanction was imposed
Reference 2006005730201finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2980331 |
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