LORENZO VELA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/08/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. LORENZO VELA (CRD No. 5108029), Respondent. Disciplinary Proceeding No. 2008014409801 Hearing Officer - LBB DEFAULT DECISION June 8, 2009 Respondent is barred from association with any FINRA member in any capacity for failure to provide requested information, in violation of Procedural Rule 8210 and Conduct Rule 2110. Respondent is also barred for willful failure to update his Form U4 to disclose
Reference 2008014409801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5108029 |
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