JOVANY JOSEFI LIND

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/12/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOVANY JOSEFY LIND (CRD No. 5211913), Respondent. Disciplinary Proceeding No. 2009020589801 Hearing Officer-LOM DEFAULT DECISION December 12, 2011 Respondent: (i) willfully failed to disclose on his Form U4 that he was the subject of a pending felony charge, in violation of Article V, Section 2 of FINRA's By-Laws and FINRA Rules 1122 and 2010; and (ii) repeatedly failed to respond to requests for
Reference 2009020589801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5211913

Other names1

Also known as1

JOVANY JOSEFY LIND

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