Travis Scott Hughes
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/23/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. TRAVIS SCOTT HUGHES CRD No. 7136761, RESPONDENT. Disciplinary Proceeding No. 2019064416201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On October 11,2019, Travis Scott Hughes cheated on the Series 79 qualification examination. Prior to arriving at the test center, Hughes hid personal notes in his shorts. During the exam, Hughes removed the notes and repeatedly reviewed them. He did so after acknowledging and agreeing to follow FINRA’s Qualification Examinations Rules
02/03/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TRAVIS SCOTT HUGHES (CRD No. 7136761), Respondent. Disciplinary Proceeding No. 2019064416201 Hearing Officer-DDM HEARING PANEL DECISION February 3, 2021 Respondent is barred from associating with any member firm in any capacity for acting unethically by cheating during a qualification examination in
Reference 2019064416201data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 7136761 |
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