DALE EDWARD PARA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/29/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. DALE EDWARD PARA (CRD No. 1028917), Respondent. Disciplinary Proceeding No. 2013037332701 Hearing Officer-CC. HEARING PANEL DECISION September 29, 2014. The Hearing Panel bars Respondent from associating with any FINRA member firm in any capacity for misrepresenting the status of a customer's account and for misrepresenting that he had executed hundreds of requested trades in
Reference 2013037332701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1028917 |
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