ERIC ANTHONY FOSTER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/09/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ERIC ANTHONY FOSTER, CRD No. 3267556, Respondent. Disciplinary Proceeding No. 2008015382001 Hearing Officer - SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 9, 2012 INTRODUCTION Disciplinary Proceeding No. 2008015382001 was filed on December 19, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)(Complainant). Respondent Eric Anthony Foster (CRD No.
12/19/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ERIC ANTHONY FOSTER (CRD No. 3267556), Respondent. DISCIPLINARY PROCEEDING No. 2008015382001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period from February 28, 2006 through June 6, 2006, Respondent Eric Anthony Foster (CRD No. 3267556) effected six unauthorized purchase and sale transactions in the Maxim Group LLC (BD No. 120708) ("Maxim") account of deceased customer
Reference 2008015382001data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	3267556

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