GERMAINE P. PRINGLE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/21/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. GERMAINE P. PRINGLE (CRD No. 4072717), Respondent. Disciplinary Proceeding No.2007010233201 Hearing Officer - Rochelle S. Hall DEFAULT DECISION May 21, 2009 Respondent is barred for misuse of customer funds, in violation of Conduct Rule 2110. Appearances David F. Newman, Senior Regional Counsel; John M. D'Amico, Regional Chief Counsel, Philadelphia, PA, for the FINRA Department of Enforcement.
Reference 2007010233201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4072717

Other names1

Also known as1

GERMAINE PAULINE PRINGLE

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