SAN SANA NEAL
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/05/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SAN SANA NEAL (CRD No. 4870917), Respondent. Disciplinary Proceeding No. E3B20040218-01 Hearing Officer--Andrew H. Perkins DEFAULT DECISION April 5, 2006 The Respondent willfully failed to disclose his criminal record on a Form U-4, in violation of NASD Conduct Rule 2110 and IM-1000-1. The Respondent is barred from association with any member of NASD in any capacity. Appearances For the Department of Enforcement: Mark A.
Reference E3B2004021801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4870917 |
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.