BENJAMIN FRANKLIN WEST

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/06/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BENJAMIN FRANKLIN WEST (CRD No. 5445026), Respondent. Disciplinary Proceeding No. 20110260321 Hearing Officer - AWL DEFAULT DECISION December 6, 2012 Respondent is barred from associating with any FINRA registered firm in any capacity for (1) converting funds from customers, in violation of FINRA Rule 2010; and (2) failing to provide information and failing to appear and provide testimony, in
06/29/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Benjamin Franklin West (CRD No. 5445026), Respondent DISCIPLINARY PROCEEDING No. 20110260321 COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. During the period from July 2010 to October 2010, Benjamin Franklin West ("West") violated FINRA Rule 2010 by misappropriating $6,246 of insurance premiums paid by two customers of his insurance company employer. At the time, he was
Reference 2011026032101data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5445026

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