CALIOPE MAKRIS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/28/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CALIOPE MAKRIS (CRD No. 4182361), Respondent. Disciplinary Proceeding No. 2005001405001 DEFAULT DECISION Hearing Officer - SW Dated: November 28, 2006 Respondent was barred for violating NASD Procedural Rule 8210 and NASD Conduct Rule 2110 by failing to respond to requests for information issued by the NASD staff. In light of the bar, the Hearing Officer did not impose an additional sanction for Respondent's violation of NASD
Reference 2005001405001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4182361 |
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