ROBERT J. SOPER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/01/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT J. SOPER (CRD No. 5341447), Respondent. Disciplinary Proceeding No. 2007009246101 Hearing Officer - LBB DEFAULT DECISION October 1, 2008 Respondent is barred from association with any FINRA member in any capacity for failure to provide requested information, in violation of Procedural Rule 8210 and Conduct Rule 2110. In light of the bar, no additional sanction is imposed for Respondent's
Reference 2007009246101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5341447 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.