GUY EUGENE RICHARDSON

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/23/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. GUY EUGENE RICHARDSON (CRD No. 2926034), Respondent Disciplinary Proceeding No. 2008016382401 Hearing Officer - MC DEFAULT DECISION September 23, 2011 Respondent is barred from associating with any FINRA member firm in any capacity for failing to respond to requests for information, in violation of FINRA Procedural
Reference 2008016382401finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/04/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Guy Richardson CRD No. 2926034, Respondents DISCIPLINARY PROCEEDING No. 2008016382401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Guy Richardson negligently misrepresented features of an investment to at least four customers and he failed to respond to FINRA staffs requests for information. RESPONDENT AND
Reference 2008016382401finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2926034

Other names1

Also known as1

GUY RICHARDSON

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