GIOVANNI L ACEVEDO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/08/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Giovanni L. Acevedo (CRD No. 2508321), Respondent. DISCIPLINARY PROCEEDING No. 2014041529001 COMPLAINT The Department of Enforcement (''Enforcement") alleges: SUMMARY 1. From January 2009 through March 2014, Respondent Giovanni L. Acevedo ("Respondent" or "Acevedo") converted more than $160,000 from three customers of a FINRA member for his own personal use, thereby violating NASD
02/08/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant. v. Giovanni L. Acevedo (CRD No. 2508321), Respondent. Disciplinary Proceeding No. 2014041529001 Hearing Officer -- KBW ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2014041529001 was filed on April 8, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant"). A hearing on the merits began
Reference 2014041529001data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2508321 |
Other names1
Also known as1
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