PAUL J. LEAHY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/07/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. PAUL J. LEAHY (CRD No. 2581030) Respondent. Disciplinary Proceeding No. C9B040092 Hearing Officer-AWH Default Decision March 7, 2005 Formerly registered representative barred from association with any member firm in any capacity for effecting unsuitable transactions, in violation of NASD Conduct Rules 2310 and 2110 and IM-2310-2, and failing to respond to Staff requests for information, in violation of NASD Procedural Rule 8210
Reference C9B040092finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2581030

Other names1

Also known as1

PAUL JOSEPH LEAHY

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