HILDA ASENCIO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/16/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. HILDA ASENCIO (CRD No. 4209245), DISCIPLINARY PROCEEDING No. 2008014573101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between October 2005 and April 2008, Hilda Asencio ("Asencio"), while associated with a FINRA member firm, made unauthorized withdrawals, totaling approximately $335,250, from customer LB's variable annuity and used the funds for personal benefit. By reason of the
11/06/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HILDA ASENCIO (CRD No. 4209245), Respondent. Disciplinary Proceeding No. 20080145731-01 Hearing Officer - RSH DEFAULT DECISION November 5, 2009 For conversion of customer funds, in violation of Rules 2330 and 2110, and for failure to provide requested information, in violation of Rules 8210 and 2110, the Respondent was barred from associating with any FINRA member in any capacity. She was ordered
Reference 2008014573101data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4209245 |
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