AURORA J TUCAY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/20/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. AURORA J. TUCAY (CRD No. 5306540),Respondent. Disciplinary Proceeding No. 20070092769 DEFAULT DECISION Hearing Officer - Sara Nelson Bloom March 20,2008 For conversion of funds, in violation of Rule 2110, and for failure to provide requested information, in violation of Rules 8210 and 2110, Respondent is barred from associating
Reference 20070092769finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5306540

Other names1

Also known as1

AURORA J. TUCAY

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