RONALD G RICHER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/01/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ronald G. Richer CRD No. 2988381, Respondent. Disciplinary Proceeding No. 2019062014501 Hearing Officer-MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 1, 2020 INTRODUCTION Disciplinary Proceeding No. 2019062014501 was filed on July 30, 2020, by the
07/30/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ronald G. Richer CRD No. 2988381, Respondent. Disciplinary Proceeding No. 2019062014501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In September 2016, while registered with FINRA through Garden State Securities, Inc., Respondent Ronald G. Richer borrowed $15,000 from a senior customer ("Customer A") without providing prior notice to, and receiving written approval from,
Reference 2019062014501data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2988381 |
Other names1
Also known as1
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