VICTOR MANUEL OLIVO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/23/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. VICTOR MANUEL OLIVO (CRD No. 2159064), Respondent. Disciplinary Proceeding No. 20090172901 Hearing Officer – MC DEFAULT DECISION March 23, 2010 Respondent is barred from associating with any FINRA member firm in any capacity for engaging in trading that was not authorized by his FINRA member firm employer, in violation of
Reference 2009017290101finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2159064

Other names1

Also known as1

VICTOR MANUEL OLIVO, JR

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