SARAH REBECCA BOARDMAN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/28/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SARAH REBECCA BOARDMAN (CRD No. 4175152), Respondent. Disciplinary Proceeding No. 2007010778801 Hearing Officer-RSH DEFAULT DECISION April 28, 2009 Respondent violated Conduct Rules 2370 and 2110 by borrowing money from her customer and failing to repay the loan. She also violated Procedural Rule 8210 and Conduct Rule 2110 by failing to repay the loan. She also violated Procedural Rule 8210 and
Reference 2007010778801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4175152 |
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