SHLOMO SHARBAT
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/08/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SHLOMO SHARBAT (CRD No. 2399408), Respondent. Disciplinary Proceeding No. 2009016160001 Hearing Officer-RLP DEFAULT DECISION November 8, 2012 For failing to provide testimony, in violation of Rules 8210 and 2010, Respondent is barred from associating with any FINRA member in any capacity. Allegations that Respondent violated
12/13/2021: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 93757 / December 13, 2021 Admin. Proc. File No. 3-19870 In the Matter of the Application of SHLOMO SHARBAT For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDING Individual appealed FINRA’s default decision, which barred him from associating with any FINRA member firm because he failed to respond to its requests for testimony.
Reference 2009016160001data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2399408 |
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