FRED PERELMAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/15/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Fred Perelman (CRD No. 2866846), Respondent. DISCIPLINARY PROCEEDING No. 2015047104201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Fred Perelman failed to respond to two requests for information and documentation made pursuant to FINRA Rule 8210. Both of the requests were sent three times to Perelman at his CRD address of record, and FINRA Staff received
03/29/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Disciplinary Proceeding Complainant, No. 2015047104201 V. Hearing Officer-LOM I FRED PERELMAN DEFAULT DECISION (CRD No. 2866846), ' March 29, 2016 Respondent. i ' Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information and documentation requested pursuant to FINRA Rule 8210. Carolyn 0'Leary, Esq., for FINRA's Department ofEnforcement. No appear
Reference 2015047104201data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2866846

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