DRUMOND RICARDO ROBY

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/06/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Drumond Ricardo Roby, CRD No. 4078255, Respondent. DISCPLINARY PROCEEDING NO. 2007010784301 COMPLAINT The Department of Enforcement alleges: RESPONDENT AND JURISDICTION 1. Drumond Ricardo Roby became registered as a general securities representative (Series 7) in August 2001. Roby was registered with H&R Block Financial Advisors, Inc. (n/k/a Ameriprise Advisor Services, Inc.) from October 2002 until
Reference 2007010784301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/17/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DRUMOND RICARDO ROBY (CRD No. 4078255), Respondent. Disciplinary Proceeding No. 2007010784301 DEFAULT DECISION Hearing Officer -SNB February 17, 2010 For misuse of customer funds, in violation of Rules 2330(a) and 2110, and for failure to respond to requests for information, in violation of Rules 8210 and 2010, Respondent is barred from associating with any FINRA member in any capacity. Appearances
Reference 2007010784301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4078255

Other names1

Also known as1

DRUMOND RICHARDO ROBY

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