Fernando De La Lama Merino

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/24/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Fernando de la Lama Merino (CRD No. 2257749), Respondent. DISCIPLINARY PROCEEDING No. 2015046020001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In 2015, Enforcement opened an investigation into Fernando de la Lama Merino's ("de la Lama's") potential misconduct involving the sales of illiquid structured notes and bonds referred by a foreign individual while he was
03/24/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FERNANDO DE LA LAMA MERINO Disciplinary Proceeding No. 2015046020001 Hearing Officer-DW DEFAULT DECISION (CRD No. 2257749), March 24, 2017 Respondent. Respondent is barred from associating with any FINRA registered firm in any capacity fur failing to respond to document production requests, in violation of Rules 8210 and 2010. Appearances Forthe Complainant: Christina Stanland, Esq.,
Reference 2015046020001data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2257749

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