USA: Disciplinary action filed against New York individual

Posted by nileshkokane on 17 February, 2012

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This item was filled under [ Financial Regulators, USA ]

As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for February 2012, Arthur Leo Ogbogu of New York, New York was suspended for failure to comply with an Arbitration Award or Settlement Agreement Pursuant to FINRA Rule 9554.

The original article can be found at Financial Industry Regulatory Authority.

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Tagged with: [ Arthur Leo Ogbogu, compliance risk, disciplinary actions, failure, Financial Industry Regulatory Authority, FINRA, regulatory risk, Settlement Agreement, suspended, USA ]

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