VICENTE DEMETRIUS LOPEZ
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/23/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. VICENTE DEMETRIUS LOPEZ (CRD No. 2216550), Respondent. Disciplinary Proceeding No. 2006005998601 Hearing Officer - LBB DEFAULT DECISION May 23, 2008 For Respondent's failure to provide requested information, in violation of Procedural Rule 8210 and Conduct Rule 2110, Respondent is barred in all capacities. In light of the bar, no further sanction is imposed for Respondent's borrowing from a customer
Reference 2006005998601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2216550 |
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