RONALD LYLE JOHNSON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/28/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v, RONALD LYLE JOHNSON, (CRD No. 1969599), Respondent. Disciplinary Proceeding No. 2011027497101 Hearing Officer-David R. Sonnenberg DEFAULT DECISION May 28, 2013 Respondent is barred from associating with any FINRA member firm in any capacity for failing to respond to requests for information and documents, in violation of FINRA Rules 8210 and 2010. In light of the bar, no additional sanctions are
Reference 2011027497101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1969599 |
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