DELFIN JOAQUIN PARIS III

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/11/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. DELFIN JOAQUIN PARIS III (CRD No. 4475097), Respondent. Disciplinary Proceeding No. 2006006997701 Hearing Officer - SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 11, 2008 INTRODUCTION Disciplinary Proceeding No. 2006006997701 was filed on November 29, 2007, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant"). Respondent Delfin Joaquin
Reference 2006006997701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4475097

Other names1

Also known as1

DELFIN JOAQUIN PARIS, III

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