MITCHELL A. WEISBERG
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/23/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Mitchell A. Weisberg CRD No. 1882341 Respondent. Disciplinary Proceeding No. C07050020 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Mitchell A. Weisberg was registered with NASD member L.H. Ross & Company, Inc. ("L.H. Ross") from about June 26, 2003, until about June 25, 2004. His employment end date with L.H. Ross was June 25, 2004.
08/19/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. MITCHELL A. WEISBERG (CRD No. 1882341), Respondent. Disciplinary Proceeding No. C07050020 Hearing Officer - SNB DEFAULT DECISION August 19, 2005 Respondent is barred from associating with any NASD member in any capacity for failing to respond to requests for information in violation of NASD Procedural Rule 8210 and NASD Conduct Rule 2110. In light of this bar, no further sanctions are imposed for executing unauthorized
Reference C07050020data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1882341 |
Other names1
Also known as1
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