TIMOTHY J. DUMA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/27/2005: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Timothy J. Duma Downers Grove, IL, Respondent. DECISION Complaint No. C8A030099 Dated: October 27, 2005 Respondent engaged in outside business activity without providing his employer with prompt written notice; misrepresented his employment status on a new account application; failed to notify his employer in writing that he had opened a securities account at another firm and failed to notify the firm
Reference C8A030099data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2204619 |
Other names1
Also known as1
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