GREGORY JEROME PTASIENSKI OSBORN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/09/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. GREGORY JEROME PTASIENSKI OSBORN (CRD No. 1716402), RESPONDENT. DISCIPLINARY PROCEEDING No. 2011025438901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or about December 2009 through in or about December 2011, Respondent Gregory Jerome Ptasienski Osborn ("Osborn"), made fraudulent misrepresentations and omissions of material facts in connection with the sale of approximately $5
04/08/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. GREGORY JEROME PTASIENSI1 OSBORN (CRD No. 1716402), Disciplinary Proceeding No. 2011025438901 Hearing Officer-DRS ORDER ACCEPTING OFFER OF SETTLEMENT RESPONDENT. Date: April 8, 2014 INTRODUCTION Disciplinary Proceeding No. 2011025438901 was filed on August 8, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Gregory Jerome
Reference 2011025438901data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1716402

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