PETER NICHOLAS DOURDAS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/16/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Peter Nicholas Dourdas (CRD No. 1533296), Respondent. DISCIPLINARY PROCEEDING No. 2013038018901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From 2008 through July 2012 (the "Relevant Period"), while registered with Questar Capital Corporation (''QCC" or the "Firm"), Respondent Peter Nicholas Dourdas ("Dourdas" or "Respondent")
12/14/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PETER NICHOLAS DOURDAS (CRD No. 1533296), Respondent. Disciplinary Proceeding No. 2013038018901 Hearing Officer-DW DEFAULT DECISION December 14, 2015 Respondent made material misrepresentations to his employer regarding his outside business activities and failed to comply with requests for information and requests to appear and testify. Respondent is barred from associating with a member
Reference 2013038018901data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1533296 |
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