ROBERT D. HOUSE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/24/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT D. HOUSE (CRD No. 2080155), Respondent. Disciplinary Proceeding No. 2010022188901 Hearing Officer - SNB DEFAULT DECISION November 24, 2010 Respondent is barred from associating with any FINRA registered firm in any capacity for failing to respond to requests for information, in violation of Procedural Rule 8210 and Conduct Rule 2010. Appearances Patrick K. Craine, Esq., and Andrew Favret,
Reference 2010022188901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2080155

Other names1

Also known as1

ROBERT DUNNELL HOUSE

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