CHANSE K. MENENDEZ SR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/01/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHANSE K. MENENDEZ, SR. (CRD No. 2448467) Respondent. Disciplinary Proceeding No. 2007007400505 Hearing Officer SNB DEFAULT DECISION November 1, 2010 Respondent is barred from associating with any member firm in any capacity for engaging in excessive and unsuitable trading in customer accounts, in violation of NASD Rules 2310 and 2110 and IM-2310-2; ehurning customer accounts
04/13/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHANSE K. MENENDEZ, SR. (CRD No. 2448467), Respondent. DISCIPLINARY PROCEEDING No. 2007007400505 Note: The issuance of a disciplinary complaint represents the initiation of a formal proceeding by FINRA in which findings as to the allegations in the complaint have not been made and does not represent a decision as to any of the allegations contained in the complaint. Because this complaint is
Reference 2007007400505data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2448467 |
Other names1
Also known as1
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