ADRIAN COOPER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/28/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ADRIAN COOPER (CRD No. 3271084), Respondent. Disciplinary Proceeding No. E052004028001 Hearing Officer-AWH Default Decision April 28, 2006 Formerly registered person converted customer funds, in violation of Conduct Rules 2110 and 2330(a), and failed to respond to NASD Staff requests for information, in violation of Procedural Rule 8210 and Conduct Rule 2110.
12/05/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Adrian Cooper General Securities Representative [CRD No. 3271084], Respondent Disciplinary Proceeding No. E052004028001 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Adrian Cooper ("Cooper") entered the industry in August 17, 1999 as a General Securities Representative of member firm Merrill Lynch, Pierce, Fenner & Smith Incorporated during all periods mentioned herein until
Reference E052004028001data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3271084 |
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