ANTONIO V. FALCON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/01/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Antonio V. Falcon (CRD No. 5615176), Respondent. DISCIPLINARY PROCEEDING No. 201303 5252902 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From April through July 2014, Respondent Antonio V. Falcon ("Respondent" or "Falcon") failed to appear four times for on-the-record interviews noticed pursuant to FINRA Rule 8210. Falcon therefore violated FINRA Rules 8210 and
02/25/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANTONIO V. FALCON (CRD No. 5615176), Respondent. Disciplinary Proceeding No. 2013035252902 Hearing Officer-MC DEFAULT DECISION February 25, 2015 Respondent is barred from associating with any FINRA member in any capacity for failing to respond to requests for on-the-record testimony, in violation of FINRA Rules 8210 and 2010. Appearances Artur M. Wlazlo,
Reference 2013035252902data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5615176 |
Other names1
Also known as1
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