Oscar Nunez
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/21/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Oscar Nunez (CRD No. 6014411), Respondent. DISCIPLINARY PROCEEDING NO. 2017055553002 COMPLAINT The Department of Enforcement alleges: 1. From January 2016 through December 2016, while associated with J.H. Darbie & Co., Inc. ("J.H. Darbie" or the "Firm"), Respondent Oscar Nunez converted $7,000 from an eldely customer, HZ. To convince HZ to give him the funds, Nunez
09/27/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. OSCAR NUNEZ (CRD No. 6014411), Respondent. Disciplinary Proceeding No. 2017055553002 Hearing Officer-MJD DEFAULT DECISION September 27, 2019 Respondent Oscar Nunez misused and converted a customer's funds, borrowed money from another customer without his firm's knowledge and
Reference 2017055553002data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6014411 |
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