RONALD JOHN KAMBIC
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/10/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RONALD JOHN KAMBIC (CRD No. 1920540), Respondent. Disciplinary Proceeding No.20090165646 Hearing Officer - MAD DEFAULT DECISION November 10, 2011 Respondent is barred from associating with any member firm in any capacity for converting employee retirement funds, in violation of NASD Conduct Rule 2110, and failing to respond to requests for information, in violation of FINRA Procedural Rule 8210 and
07/25/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ronald John Kambic CRD No. 1920540, Respondent. DISCIPLINARY PROCEEDING No. 20090165646 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between approximately May 2008 and December 2008 (the "Relevant Period"), while associated as a registered representative with Securities America, Inc. ("Securities America"), Ronald John Kambic ("Respondent") converted retirement contributions totaling
Reference 2009016564601data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1920540 |
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