SOURICHANH MALIVARN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/01/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Sourichanh Malivarn (CRD No, 4722533), Respondent. DISCIPLINARY PROCEEDING NO. 2009020085601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In September 2009, Sourichanh Malivarn ("Malivarn") used her position as a licensed banker at a FINRA member firm to create a personal installment loan account in the
02/15/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SOURICHANH MALIVARN (CRD No. 4722533), Respondent. Disciplinary Proceeding No.2009020085601 Hearing Officer - LBB DEFAULT DECISION February 15, 2011 Respondent is barred from associating with any FINRA member firm in any capacity for conversion of funds, in violation of FINRA Conduct Rule 2010. Respondent is a
Reference 2009020085601data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4722533 |
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