MICHAEL A LAMBOY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/15/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL A. LAMBOY (CRD#5058677), Respondent. DISCIPLINARY PROCEEDING No. 2011026468501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From approximately November 2010 to December 2010 (the "Relevant Period"), Michael A. Lamboy ("Lamboy"), while a Series 6 and Series 63 registered person with Chase Investment Services Corp. ("Chase" or the "Firm"), a FINRA regulated firm, converted at
07/26/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL A. LAMBOY (CRD No. 5058677), Respondent. Disciplinary Proceeding No. 2011026468501 Hearing Officer-LOM DEFAULT DECISION July 26, 2012 Respondent is barred from associating with any FINRA member in any capacity for conversion of customer funds in violation of FINRA Rule 2010. Respondent also is barred from association with any FINRA member in any capacity for his failure to provide testimony
Reference 2011026468501data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5058677 |
Other names1
Also known as1
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