DORIA SABIA-FLORENCE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/29/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DORIA SABIA-FLORENCE (CRD No. 1136269), Respondent. Disciplinary Proceeding No.2007008458901 Hearing Officer-Andrew H. Perkins DEFAULT DECISION January 29, 2009 Respondent is barred for conversion of customer funds, in violation of Conduct Rules 2330(a) and 2110. Appearances Mark J. Fernandez, Senior Regional Counsel,
09/23/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. DORIA SABIA-FLORENCE, General Securities Representative (CRD No. 1136269), Respondent. DISCIPLINARY PROCEEDING No.2007008458901 HEARING OFFICER:___ COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From February 2004 through February 2007, Respondent Doria Sabia- Florence ("Florence")* while
Reference 2007008458901data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1136269 |
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