MAXIMILIANO M. TOLEDO II
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/31/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Disciplinary Proceeding Complainant, No. C07040091 v. Hearing Officer-Andrew H. Perkins MAXIMILIANO M. TOLEDO, II (CRD No. 1689814), AMENDED DEFAULT DECISION March 31, 2005 Respondent. Respondent falsified documents, in violation of NASD Conduct Rule 2110, and failed to respond to staff requests for information, in violation of NASD Procedural Rule 8210 and NASD Conduct Rule
Reference C07040091data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1689814 |
Other names1
Also known as1
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.