Mark Frederic Seruya

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/27/2025: On December 12, 2024, Seruya refused to provide documents and information requested pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...
Reference 2024083143001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1108375

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