ENFORCEMENT & DISCIPLINARY ACTIONS DETAILS
Enforcement & Disciplinary Actions
Firm
Type of Action Action Effective From Action Effective Until Summary of Action
Financial Penalty11/04/2011 View Summary of Action
Financial penalty23/04/2018 View Summary of Action
Guardian Wealth Management Qatar LLC voluntary liquidation06/05/2016 View Summary of Action
Approved Individuals
AI No. Name of Individual Type of Action Action Effective From Action Effective Until Summary of Action
00687Hasberry, John EdwardFinancial penalty and prohibition03/07/2019 View Summary of Action
00688Howell, David RobertFinancial penalty and prohibition03/07/2019 View Summary of Action
00687Hasberry, John EdwardGuardian Wealth Management Qatar LLC voluntary liquidation06/05/2016 View Summary of Action
00688Howell, David RobertGuardian Wealth Management Qatar LLC voluntary liquidation06/05/2016 View Summary of Action
00690Jones, VincentGuardian Wealth Management Qatar LLC voluntary liquidation06/05/2016 View Summary of Action
01288Borkhataria Martin, SeemaGuardian Wealth Management Qatar LLC voluntary liquidation06/05/2016 View Summary of Action
01440Nalepa, James NicholasGuardian Wealth Management Qatar LLC voluntary liquidation06/05/2016 View Summary of Action
01498Vickery, Aaron JamesGuardian Wealth Management Qatar LLC voluntary liquidation06/05/2016 View Summary of Action
00720Russell, David GibbProhibition from performing controlled functions10/08/2020 View Summary of Action
00690Jones, VincentPublic censure04/07/2019 View Summary of Action

public-registers

DNFBP FIRMS/ RELATED INDIVIDUALS APPROVED INDIVIDUALS – ENFORCEMENT & DISCIPLINARY ACTIONS DETAILS
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