DAVID M. MANSOUR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/14/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. DAVID M. MANSOUR (CRD # 4082348), RESPONDENT. DISCIPLINARY PROCEEDING No. 2014041526002 HEARING OFFICER: MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 14, 2017 INTRODUCTION Disciplinary Proceeding No. 2014041526001 was filed on June 3, 2016, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant"). Respondent David M. Mansour
06/03/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement. Complainant, v. David M. Mansour (CRD # 4082348), Respondent. DISCIPLINARY PROCEEDING No. 2014041526002 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY Respondent David M. Mansour ("Mansour" or "Respondent"), while associated with Frost Brokerage Services, Inc. ("Frost Brokerage" or the "Firm"), a FINRA member firm, willfully failed to timely disclose a misdemeanor charge for wrongful
Reference 2014041526002data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4082348 |
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.