MICHAEL DOUGLAS LARSEN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL DOUGLAS LARSEN (CRD No. 4796817), Respondent. Disciplinary Proceeding No. 2009018143701 Hearing Officer-RSH DEFAULT DECISION March 14, 2011 For converting funds from a customer of a non-FINRA-regulated bank, in violation of Rules 2110 and 2010; and failing to provide requested documents, in violation of Rules 8210
10/22/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. MICHAEL DOUGLAS LARSEN (CRD NO. 4796817) RESPONDENT. DISCIPLINARY PROCEEDING NO. 2009018143701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From approximately April 2008 to April 17, 2009 (the "Relevant Period"), Michael Douglas Larsen ("Larsen"), a Series 6 and Series 63 registered person whose
Reference 2009018143701data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4796817 |
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