FELIPE J LORIE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/06/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FELIPE J. LORIE (CRD No. 1861011), Respondent. Disciplinary Proceeding No. 2009019867201 Hearing Officer- SNB DEFAULT DECISION July 6, 2011 Respondent is barred from associating with any FINRA registered firm in any capacity for: (1) falsifying letters of authorization that caused his firm's books and records to be inaccurate, in violation of Conduct Rules 3110 and 2010; (2) using falsified letters
02/08/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FELIPE J. LORIE, (CRD No. 1861011) Respondent. Disciplinary Proceeding No. 2009019867201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From July 2009 through September 2009, Felipe J. Lorie, white registered with Southern Trust Securities, Inc., falsified Letters of Authorization (LOA) and misappropriated customer funds without customer's knowledge or authorization, in violation of
Reference 2009019867201data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1861011 |
Other names1
Also known as1
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