RICHARD DE MESA GARRIDO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Richard De Mesa Garrido (CRD No. 2137549), Respondent. Disciplinary Proceeding No. 20100242998-01 Hearing Officer: Maureen A. Delaney ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 12, 2012 INTRODUCTION Disciplinary Proceeding No. 20100242998-01 was filed on March 12, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Richard
Reference 2010024299801finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2137549 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.