CAROL J BENGE

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement Complainant, v. Carol J. Benge, CRD No. 5607996 Respondent. Disciplinary Proceeding No. 2009018020301 Hearing Officer AHP Date: September 20, 2010 ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2009018020301 was filed on July 20, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Carol J. Benge submitted an Offer of
Reference 2009018020301finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement Complainant, v. Carol Benge (CRD No. 5607996), Respondent. DISCIPLINARY PROCEEDING No.2009018020301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In April 2009, Carol J. Benge (Benge), in her capacity as a personal banker, misused $1,586.00 of funds which belonged to a bank customer in violation of FINRA Rule 2010. In addition, Benge failed to respond to a FINRA Rule 8210 request for information,
Reference 2009018020301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5607996

Other names2

Also known as2

CAROL J. BENGECAROL BENGE

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