TODD W. SENS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/20/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v TODD W. SENS Investment Company and Variable Contracts Products Representative (CRD No. 2558107) Respondent. Disciplinary Proceeding No. 20060050165-01 Hearing Officer - SNB ORDER ACCEPTING OFFER OF SETTLEMENT 1. INTRODUCTION Disciplinary Proceeding No. 20060050165 was filed on April 13, 2007
04/13/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TODD W. SENS Investment Company and Variable Contracts Products Representative (CRD No. 2558107) Respondent. Disciplinary Proceeding No, 20060050165-01 Hearing Officer - COMPLAINT The Department of Enforcement alleges: JURISDICTION 1. From December 1,1997 through April 13, 2006, Respondent Todd W. Sens was associated with NASD member Princor Financial
Reference 2006005016501data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2558107 |
Other names1
Also known as1
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