ANTHONY S. MCCOMAS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/04/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANTHONY S. McCOMAS (CRD No. 708707) Respondent. Disciplinary Proceeding No. C07040072 Hearing Officer - DRP DEFAULT DECISION March 4, 2005 Respondent converted customer funds, in violation of NASD Conduct Rules 2330 and 2110, and failed to respond to NASD staff requests for information, in violation of NASD Procedural Rule 8210 and Conduct Rule 2110. Respondent is barred
Reference C07040072data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	708707

Other names1

Also known as1

ANTHONY STEPHEN MCCOMAS

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