ENFORCEMENT & DISCIPLINARY ACTIONS DETAILS
Enforcement & Disciplinary Actions
Firm
Type of Action Action Effective From Action Effective Until Summary of Action
Financial Penalty11/04/2011
Financial penalty23/04/2018
Guardian Wealth Management Qatar LLC voluntary liquidation06/05/2016
Approved Individuals
AI No. Name of Individual Type of Action Action Effective From Action Effective Until Summary of Action
00687Osinski, Susana SusanaFinancial penalty and prohibition03/07/2019
00688Dickens, Jakob JakobFinancial penalty and prohibition03/07/2019
00687Osinski, Susana SusanaGuardian Wealth Management Qatar LLC voluntary liquidation06/05/2016
00688Dickens, Jakob JakobGuardian Wealth Management Qatar LLC voluntary liquidation06/05/2016
00690Pouros, Luis LuisGuardian Wealth Management Qatar LLC voluntary liquidation06/05/2016
01288Prohaska, Aliyah AliyahGuardian Wealth Management Qatar LLC voluntary liquidation06/05/2016
01440Ward, Luz LuzGuardian Wealth Management Qatar LLC voluntary liquidation06/05/2016
01498Renner, Felicia FeliciaGuardian Wealth Management Qatar LLC voluntary liquidation06/05/2016
00720McCullough, Elisa ElisaProhibition from performing controlled functions10/08/2020
00690Pouros, Luis LuisPublic censure04/07/2019

public-registers

DNFBP FIRMS/ RELATED INDIVIDUALS APPROVED INDIVIDUALS – ENFORCEMENT & DISCIPLINARY ACTIONS DETAILS
Skip to content
This site is registered on wpml.org as a development site. Switch to a production site key to remove this banner.