HANSEL CLAYTON TOPPIN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/01/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HANSEL CLAYTON TOPPIN (CRD No. 4188845), Respondent. Disciplinary Proceeding No. 2011028819101 Hearing Officer - MC DEFAULT DECISION March 1, 2012 Respondent Hansel Clayton Toppin is barred from associating with any FINRA member firm in any capacity for failing to respond to requests for information, in violation of FINRA Conduct Rule 2010 and Procedural Rule 8210. Appearances
Reference 2011028819101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4188845 |
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