NICHOLAS P. VARGAS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/09/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. NICHOLAS P. VARGAS (CRD No. 4317358), Respondent. Disciplinary Proceeding No. 2012034946901 Hearing Officer-Andrew H. Perkins DEFAULT DECISION June 9, 2015 Respondent is barred from associating with any FINRA member firm in any capacity for (i) conversion, in violation of FINRA Rule 2010, and (ii) failing to respond completely to requests for information and documents,
11/18/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Nicholas P. Vargas (CRD No. 4317358), Respondent. DISCIPLINARY PROCEEDING No. 2012034946901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Nicholas P. Vargas converted funds from his firm's bank affiliate. He also failed to provide information requested by FINRA staff pursuant to FINRA Rule 8210 in connection with its investigation of that misconduct. RESPONDENT
Reference 2012034946901data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4317358 |
Other names1
Also known as1
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