ROLAND P GERBAULD

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/16/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064876101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roland Gerbauld, Respondent Former General Securities Representative CRD No. 4494232 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Roland Gerbauld submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019064876101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4494232

Other names1

Also known as1

Roland Gerbauld

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