CHRISTOPHER B ARIOLA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/06/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTOPHER B. ARIOLA (CRD No. 2957096), Respondent. Disciplinary Proceeding No. 2012034139101 Hearing Officer-RES December 6, 2016 DEFAULT DECISION For making unsuitable recommendations in high-risk gold and energy stocks and exercising control over a former customer's online brokerage account without providing written notice of the account to his employer member firm or of his registered status to
Reference 2012034139101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2957096

Other names1

Also known as1

Christopher B. Ariola

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