PETER J SERMABEIKIAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/02/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, V. PETER J. SERMABEIKIAN (CRD No. 3084958), Respondent. Disciplinary Proceeding No. 20110296614-02 Hearing Officer - Andrew H. Perkins DEFAULT DECISION October 2, 2013 Respondent is barred from associating with any FINRA registered firm in any capacity for his failure to respond in a timely manner to FINRA's requests for information, in violation of FINRA Rules 8210 and 2010. The charge that
Reference 2011029661402data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3084958

Other names1

Also known as1

PETER J. SERMABEIKIAN

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