2017053409201 Tripoint Global Equities, LLC CRD 143174 and Mark Elenowitz CRD 2057802 Complaint va (2020-1593389967302).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Tripoint Global Equities, LLC (CRD No. 143174), and Mark Elenowitz (CRD No. 2057802), Respondents. Disciplinary Proceeding No. 2017053409201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From November 2015 through August 2016, Respondents Tripoint Global Equities,
2019064884501 GUSTAVO TRUJILLO FRANCO CRD 6793684 OHO Decision sl (2020-1593389967851).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
DEPARTMENT OF ENFORCEMENT, Complainant, v. GUSTAVO TRUJILLO FRANCO (CRD No. 6793684), Respondent.
Disciplinary Proceeding No. 2019064884501
Hearing Officer-RES
DEFAULT DECISION May 28, 2020
Respondent is barred from associating with any FINRA member in any capacity for failing to appear for on-the-record testimony as required by FINRA Rule 8210.
Appearances
For Complainant: J. Loyd Gattis, Esq., Michael P. Manly, Esq., Department of Enforcement, Financial Industry Regulatory Authority