CYNTHIA N. PETE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/18/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CYNTHIA N. PETE (CRD No. 5416260), Respondent. Disciplinary Proceeding No. 2007011080601 DEFAULT DECISION Hearing Officer - SW Date: December 18, 2008 Respondent is barred from associating with any FINRA member firm in any capacity for violating Conduct Rule 2110 and Procedural Rule 8210 by failing to respond to FINRA's requests for information issued pursuant to Rule 8210. No separate sanction
Reference 2007011080601finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5416260

Other names1

Also known as1

CYNTHIA NAWITA PETE

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.