FRANK OSWALDO NAULA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/12/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FRANK OSWALDO NAULA (CRD No. 1344900), Respondent. Disciplinary Proceeding No. 2011027702801 Hearing Officer - LOM DEFAULT DECISION April 12, 2013 Respondent violated NASD Conduct Rules 2370 and 2110, along with FINRA Rule 2010, when he borrowed a total of $245,000 from a customer without obtaining prior written approval from his firm. Respondent is barred from associating with any FINRA registered
Reference 2011027702801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1344900 |
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