BETTY LYNN SALEH
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/15/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. BETTY LYNN SALEH, (CRD No. 2146402) Respondent. DISCIPLINARY PROCEEDING No. 2008012738001 Hearing Officer - SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 15, 2010 INTRODUCTION Disciplinary Proceeding No. 2008012738001 was filed on September 30, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)(Complainant). Respondent Betty Lynn Saleh
09/30/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. BETTY LYNN SALEH, (CRD No. 2146402) Respondent. DISCIPLINARY PROCEEDING No. 2008012738001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. This case involves a pattern of violations of NASD and FINRA rules and the antifraud provisions of the federal securities laws by Respondent Betty Lynn Saleh during the period from about November 2004 through April 2009 (the relevant period), arising
Reference 2008012738001data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2146402 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.