RICKY EUGENE BELL
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RICKY EUGENE BELL, (CRD No. 2065556), Respondent. Disciplinary Proceeding No. 2013039439301 Hearing Officer- David R. Sonnenberg DEFAULT DECISION September 10, 2014 Respondent is barred for: (1) engaging in private securities transactions, in violation of NASD Rule 3040 and FINRA Rule 2010; (2) receiving unauthorized loans from customers, in violation of FINRA Rules 3240 and 2010; and
04/29/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ricky Eugene Bell (CRD No.2065556) Respondent. DISCIPLINARY PROCEEDING No. 2013039439301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between January 2011 and January 2014 (“the relevant time period"), registered representative Ricky Eugene Bell sold securities away from his member firm, engaged in unauthorized customer loans, failed to respond to FINRA's requests for
Reference 2013039439301data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2065556 |
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