JOSE R. MIRABAL

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/24/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. JOSE R. MIRABAL (CRD No. 4042589) Respondent. Disciplinary Proceeding No.2005002701701 Hearing Officer-AWH DEFAULT DECISION August 24, 2007 Formerly registered representative barred from association with any member firm in any capacity for failing to respond to Staff requests for information and testimony,
Reference 2005002701701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4042589

Other names1

Also known as1

JOSE RAFAEL MIRABAL

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