ATTILA GYULA TOTH
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/30/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ATTILA GYULA TOTH (CRD No. 2565633), Respondent. Disciplinary Proceeding No. 2009019362801 Hearing Officer - AWL DEFAULT DECISION November 30, 2012 Respondent is barred from associating with any FINRA registered firm in any capacity for: (1) misusing customer funds, in violation of NASD Rules 2330 and 2110; (2) borrowing from a customer, in violation of NASD Rule 2370 and FINRA Rule 2010; (3)
07/05/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ATTILA GYULA TOTH, CRD No. 2565633. Respondent. Disciplinary Proceeding No. 2009019362801 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Toth misused customer funds in violation of NASD Conduct Rules 2330 and 2110 and borrowed funds from a customer in violation of NASD Conduct Rule 2370 and FINRA Rule 2010. Further, he provided false testimony and information
Reference 2009019362801data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2565633 |
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