CHARLES VITO KOUBEK, JR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/09/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHARLES V. KOUBEK, JR., (CRD No. 2068434), Respondent. Disciplinary Proceeding No. C10040072 Hearing Officer-Andrew H. Perkins DEFAULT DECISION February 9, 2005 The Respondent is barred from associating with any member firm in any capacity for failing to respond to NASD requests for information, in violation of NASD Procedural Rule 8210 and NASD Conduct Rule
Reference C10040072data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2068434 |
Other names1
Also known as1
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