Sean Michael Refsnider
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/28/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Sean Michael Refsnider (CRD No. 4762963), Respondent. Disciplinary Proceeding No. 2019063790901 Hearing Officer: COMPLAINT The Department of Enforcement (“Enforcement”) alleges: SUMMARY 1. From July 2019 through August 2019 (the “Relevant Period”), while associated with Ameriprise Financial Services, Inc. (“Ameriprise” or the “Firm”), Sean Michael Refsnider (“Refsnider”) converted approximately $42,000
10/15/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Sean Michael Refsnider (CRD No. 4762963), Respondent. DISCIPLINARY PROCEEDING No. 2019063790901 Hearing Officer: RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 15, 2020 INTRODUCTION Disciplinary Proceeding No. 2019063790901 was filed on April 28, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or
Reference 2019063790901data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4762963 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.