DAVID JONATHAN BOLTON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/24/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. DAVID JC BOLTON (CRD No. 5038018), Respondent. Disciplinary Proceeding No. 2016049775701 Hearing Officer–RES DEFAULT DECISION August 24, 2018 For unsuitable trading, Respondent is barred from associating with any FINRA member firm in any capacity. Respondent also caused a member firm to maintain inaccurate books and records and caused a member
04/12/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David JC Bolton (CRD No. 5038018), Respondent. DISCIPLINARY PROCEEDING NO. 2016049775701 Hearing Officer___ COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From July 2012 through June 2015 while Respondent David JC Bolton (“Bolton”) was registered with FINRA through associations with Signator Investors, Inc. (“Signator”) and thereafter, Thurston, Springer, Miller, Herd
Reference 2016049775701data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5038018 |
Other names1
Also known as1
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