DARREN J. DIETRICH

03/28/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DARREN J. DIETRICH (CRD No. 1814017) Respondent. Disciplinary Proceeding No. 20090166607 Hearing Officer -LBB DEFAULT DECISION March 28, 2011 Respondent Darren J. Dietrich is barred from associating with a FINRA member firm in any capacity for failing to appear and testify at on-the-record interviews, in violation of FINRA Procedural Rule 8210 and Conduct Rule 2010. In light of the bar, no

08/30/2010: FINRA OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, vs. DARREN J. DIETRICH (CRD No. 1814017), Respondent. Disciplinary Proceeding No. 20090166607 COMPLAINT The Department of Enforcement alleges: Summary 1. Darren J. Dietrich effectuated four unauthorized trades in violation of NASD Conduct Rule 2110 and IM-2310-2 and failed to appear for investigative testimony on three separate occasions, in violation of FINRA Rules 8210 and 2010. Respondent and Jurisdiction 2. In June 1988, Dietrich

Reference 2009016660701data-portal.finra.orgdata-portal.finra.orgfinra.org