FRANKLYN ROSS MICHELIN

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/25/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. LH ROSS & COMPANY, INC. (BDNo. 37920) FRANKLYN ROSS MICHELIN (CRD No. 2459180) Respondents. Disciplinary Proceeding No. C07040074 Hearing Officer - DMF HEARING PANEL DECISION January 25, 2005 Respondent firm is expelled from NASD membership and Respondent individual is barred from associating with any NASD member in any capacity for failing to provide certain
Reference C07040074data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/17/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. LH Ross & COMPANY, INC., CRD No. 37920 AND FRANKLYN R. MLCHELIN CRD No. 2459180 RESPONDENTS. DISCIPLINARY PROCEEDING NOS. CAF030055 AND C05040054 HEARING OFFICERS: AWH AND DMF ORDER ACCEPTING GLOBAL OFFER OF SETTLEMENT OF LH ROSS & COMPANY, INC. AND FRANKLYN R. MICHELIN OF PENDING CASES IN LITIGATION I. INTRODUCTION The following two disciplinary
Reference C05040054data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2459180

Other names1

Also known as1

FRANKLYN R. MICHELIN

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