RICHARD TOTOY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/07/2010: FINANCIAL INDUSTRY REULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RICHARD TOTOY (CRD No. 5423558), Respondent. Disciplinary Proceeding No.2008015139801 Hearing Officer-Andrew H. Perkins DEFAULT DECISION July 7, 2010 Respondent is barred from associating with any member firm in any capacity for (1) conversion of funds, in violation of NASD Conduct Rule 2110, (2) failing to respond to FINRA's
12/04/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Richard Totoy (CRD No. 5423558), Respondent. DISCIPLINARY PROCEEDING No.2008015139801 Hearing Officer - Andrew H. Perkins AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On or about August 28, 2008, and again on or about September 6, 2008,
Reference 2008015139801data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5423558

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.