JOSE SALVADOR RUBIO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/26/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOSE SALVADOR RUBIO (CRD No. 1854133), Respondent. Disciplinary Proceeding No. 2009018879801 Hearing Officer-SNB DEFAULT DECISION May 26, 2011 Respondent is barred from associating with any FINRA member firm in any capacity for failing to respond to requests to appear for testimony, in violation of FINRA Procedural Rule 8210 and FINRA Conduct Rule 2010. Appearances Jeffrey A. Ziesman, Esq., Kansas
Reference 2009018879801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1854133 |
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