CARLOS D. RIVERA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/09/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CARLOS D. RIVERA (CRD No. 5079860), Respondent. Disciplinary Proceeding No. 2007010600101 Hearing Officer-Andrew H. Perkins DEFAULT DECISION October 9, 2009 The Respondent is barred from associating with any FINRA member firm in any capacity for failing to disclose an outside securities account to his member firm, in violation of NASD Conduct Rules 3050(c) and 2110; and for fabricating a letter on
Reference 2007010600101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5079860 |
Other names1
Also known as1
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