HEATHER D PEPO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/27/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HEATHER D PEPO (CRD NO. 4858338) Respondent. Disciplinary Proceeding No. 2008014734701, Hearing Officer - MC DEFAULT DECISION September 27, 2010 Respondent violated NASD Conduct Rule 2110 by converting funds of her employer. Respondent also violated FINRA Conduct Rule 2010 and Procedural Rule 8210 by failing to appear and testify
05/03/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Heather D. Pepo (CRD Na 4858338), Respondent. DISCIPLINARY PROCEEDING NO. 20080147347 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between November 2004 and June 2006, Heather D. Pepo ("Pepo" or "Respondent") while dually employed at M & T Bank (the "Bank"), and its affiliate M&T Securities ("M & T" or the "Firm")
Reference 2008014734701data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4858338 |
Other names1
Also known as1
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.