PETER M. LEMOINE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/30/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PETER M. LEMOINE (CRD No. 2080108), Respondent. Disciplinary Proceeding No. 2006006227901 DEFAULT DECISION Hearing Officer-SW Date: June 30, 2008 Respondent was barred for violating NASD Procedural Rule 8210 and NASD Conduct Rule 2110 by failing to respond to requests for information issued by the FINRA staff. No separate sanction was imposed for Respondent's violation of NASD Conduct Rules 2370 and
Reference 2006006227901finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2080108 |
Other names1
Also known as1
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