GARY JAMES LUNDGREN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/18/2016: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, Gary James Lundgren Panama City, Panama, Respondent. DECISION Expedited Proceeding No. FPI150009 Dated: February 18, 2016 Respondent is suspended from associating with any FINRA member firm in any capacity for failing to provide information and documents in response to FINRA Rule 8210 requests issued to him by FINRA staff. The suspension will automatically
Reference FPI150009data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 724817 |
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