ROBERT F. HOCKENSMITH JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/26/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Robert F. Hockensmith, Jr. CRD No. 1798614 Respondent. Disciplinary Proceeding No. 2008013190801 Hearing Officer - RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 26, 2010 INTRODUCTION Disciplinary Proceeding No. 200813190801 was filed on March 16, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent
Reference 2008013190801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1798614 |
Other names1
Also known as1
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