JON P. HORVATH

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JON P. HORVATH (CRD No. 3019022), Respondent. Disciplinary Proceeding No. 2011027352701 Hearing Officer - MC DEFAULT DECISION November 20, 2012 Respondent Jon P. Horvath misappropriated funds in violation of FINRA Rule 2010; failed to appear for on-the-record testimony, in violation of FINRA Rules 8210 and 2010; and failed to disclose tax liens in a timely manner, in violation of NASD Rule 2110,
Reference 2011027352701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3019022

Other names1

Also known as1

JON PATRICK HORVATH

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