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GARY FOURNIER

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/13/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. GARY FOURNIER (CRD NO. 211949) DISCIPLINARY PROCEEDING No. 20070094013 HEARING OFFICER: SNB AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Responded Gary Ray Fournier ("Fournier") unsuitably and excessively traded municipal bonds in ten customers' accounts from January 2002 to September 2006 in willful violation of Municipal Securities Rulemaking Board ("MSRB") Rules

    Reference 2007009401301data-portal.finra.orgfinra.org

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