RICHARD P BUSS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/18/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Richard P. Buss (CRD No. 2178688), Respondent. DISCIPLINARY PROCEEDING NO. 20060057328 HEARING OFFICER - LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 18, 2008 INTRODUCTION Disciplinary Proceeding No. 20060057328 was filed on June 24, 2008, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA"). ("Complainant"). Respondent Richard P. Buss
06/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Richard P. Buss (CRD No. 2178688), Respondent. DISCIPLINARY PROCEEDING No. 20060057328 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between July 2004 and June 2006, Respondent Richard P. Buss ("Buss") converted approximately $842,475 from two elderly customers. FINRA Staff sent requests for information pursuant to NASD Procedural Rule 8210 regarding the conversion to Buss' last known
Reference 2006005732801data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2178688 |
Other names1
Also known as1
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