CHRISTOPHER D. SOLOMON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/20/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTOPHER D. SOLOMON (CRD No. 4470012), Respondent. Disciplinary Proceeding No. 2006005220901 Hearing Officer-Andrew H. Perkins DEFAULT DECISION April 20, 2007 Respondent is barred from associating with any member firm in any capacity for engaging in outside business activities, in violation of Conduct Rules 3030 and 2110; converting customer funds, in violation of Conduct Rule 2110; and failing to respond to requests for
11/22/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. CHRISTOPHER D. SOLOMON CRD NO. 4470012 RESPONDENT. DISCIPLINARY PROCEEDING NO. 2006005220901 Hearing Officer: COMPLAINT The Department of Enforcement alleges: 1. Respondent Christopher D. Solomon entered the securities industry in October 2001 with an NASD member, and became registered as a general securities representative in December 2001. He was most recently registered as a general securities representative in December 2001. He
Reference 2006005220901data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4470012 |
Other names1
Also known as1
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