LAZARO E SALADO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Lazaro E. Salado CRD No. 2899323 Respondent. DISCIPLINARY PROCEEDING NO. 2009021081301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 13, 2005 through May 8, 2009, Respondent Lazaro E. Salado, while registered with Wells Fargo Advisors, LLC ("Wells Fargo" or the "Firm"), misappropriated $18
06/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Lazaro E. Salado (CRD No. 2899323), Respondent. Disciplinary Proceeding No. 2009021081301 Hearing Officer - MC DEFAULT DECISION June 7,2011 Respondent is barred from associating with any FINRA member firm in any capacity for misappropriating customer funds, in violation of NASD Conduct Rule 2110 and FINRA Rule 2010
Reference 2009021081301data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2899323 |
Other names1
Also known as1
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