Hugues Guirand
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/12/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Hugues Guirand (CRD No. 3045595), Respondent. Disciplinary Proceeding No. 2020068395801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Hugues Guirand (“Guirand” or “Respondent”) failed to provide information and documents FINRA requested pursuant to FINRA Rule 8210, and further failed to appear and provide testimony FINRA requested pursuant to FINRA Rule 8210 on two occasions.
07/26/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HUGUES GUIRAND (CRD No. 3045595), Respondent. Disciplinary Proceeding No. 2020068395801 Hearing Officer–BEK DEFAULT DECISION July 26, 2021 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide documents and information
Reference 2020068395801data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3045595 |
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