RICHARD MONTENEGRO JR.

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/29/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, v. Complainant, RICHARD MONTENEGRO, JR. (CRD No. 2747462), Respondent. Disciplinary Proceeding No. 20110303925 Hearing Officer - David R. Sonnenberg DEFAULT DECISION April 29, 2013 Respondent is barred from associating with any FINRA registered firm in any capacity for failing to appear and testify at an on-the-record interview, in violation of FINRA Procedural Rule 8210 and Conduct
Reference 2011030392502data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2747462

Other names1

Also known as1

RICHARD MONTENEGRO, JR

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