BRYAN GABRIEL MAZLIACH
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/20/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRYAN G. MAZLIACH (CRD No. 5518438), Respondent. Disciplinary Proceeding No. 2016051583101 Hearing Officer - BEK AMENDED DEFAULT DECISION January 20, 2021 Respondent is barred from associating with any FINRA member firm in any capacity for recommending and effecting an unsuitable investment strategy to
09/08/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bryan G. Mazliach (CRD No. 5518438), Respondent. Disciplinary Proceeding No. 2016051583101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From February 2015 through July 2017 (the “Relevant Period”), Respondent Bryan G. Mazliach, while associated with FINRA member firm, Laidlaw & Company (UK) LTD (CRD No. 119037), excessively and unsuitably traded five customers’ accounts by recommending and
Reference 2016051583101data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5518438 |
Other names1
Also known as1
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