ARTHUR A. GEROME

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/29/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Arthur A. Gerome, Respondent, CRD No. 804891, Respondent. Disciplinary Proceeding No. 2010024503101 Hearing Officer - LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 29, 2012 INTRODUCTION Disciplinary Proceeding No. 2010024503101 was filed on October 18, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Arthur A. Gerome
Reference 2010024503101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/11/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006417301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Arthur A. Gerome, Respondent General Securities Representative CRD No. 804891 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Arthur A. Gerome, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted
Reference 2006006417301data-portal.finra.org finra.org

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