FREDERICK L. MATHIS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/27/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Frederick L. Mathis, General Securities Representative [CRD No. 4831306], Respondent. DISCIPLINARY PROCEEDING NO. 2007011906401 Hearing Officer: AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Frederick Mathis made unauthorized credits to his brokerage and bank accounts with funds to which he was not entitled. He also failed to respond to requests from FINRA
02/19/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FREDERICK L. MATHIS (CRD No. 4831306), Respondent. Disciplinary Proceeding No. 2007011906401 Hearing Officer -LBB DEFAULT DECISION February 19, 2009 Respondent is barred for misuse of firm funds in violation of Conduct Rule 2110. He is also barred for failure to respond to requests for information in violation of Procedural Rule 8210 and Conduct Rule 2110.
Reference 2007011906401data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4831306 |
Other names1
Also known as1
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