RENE F. PALACIOS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/02/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Rene F. Palacios (CRD No. 3188994), Respondent. DISCIPLINARY PROCEEDING No. 2007011375301 HEARING OFFICER- COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Rene Palacios ("Palacios" or "Respondent") was a registered representative associated with member firm Oriental Financial
10/09/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RENE F. PALACIOS (CRD No. 3188994), Respondent. Disciplinary Proceeding No. 2007011375301 Hearing Officer - MAD DEFAULT DECISION DATE: October 9, 2009 Respondent is barred from associating with any member firm in any capacity for (i) misusing customer funds, in violation of Conduct Rules 2330(a) and 2110; (ii) forging a customer's signature, in violation of Conduct Rule
Reference 2007011375301data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3188994

Other names1

Also known as1

RENE FRANCISCO PALACIOS

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