ENRIQUE ROY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/28/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ENRIQUE ROY (CRD No. 5339904), Respondent. Disciplinary Proceeding No. 2010023375101 Hearing Officer-Andrew H. Perkins DEFAULT DECISION March 28, 2012 Respondent is barred from associating with any FINRA registered firm in any capacity for failing to respond to requests for information, in violation of Rules 8210 and 2010. The charge that Respondent failed to notify his employer firm that he opened
Reference 2010023375101finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5339904 |
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