Maximillian Santos

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/04/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Maximillian Santos (CRD No. 3030271), Respondent. Disciplinary Proceeding No. 2014041546501 Hearing Officer KBW ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 4, 2016 INTRODUCTION Disciplinary Proceeding No. 2014041546501 was filed on July 18, 2016 as the Second Amended Complaint by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complaint).
07/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Maximillian Santos (CRD No. 3030271), Respondent. DISCIPLINARY PROCEEDING No. 2014041546501 Hearing Officer - KBW SECOND AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between December 9, 2011 and February 28, 2013 (the "relevant period"), Maximillian Santos ("Santos"), a former registered representative at Oppenheimer & Company ("Oppenheimer" or the "Firm"), withdrew a total
Reference 2014041546501data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3030271

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.