TERRENCE THOMAS ALEXANDER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/29/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TERRENCE THOMAS ALEXANDER (CRD No. 3273969), Respondent. Disciplinary Proceeding No. 2007011261701 Hearing Officer-Andrew H. Perkins DEFAULT DECISION May 29, 2009 Respondent violated Conduct Rules 2370 and 2110 by borrowing money from his customer and failing to repay the loan. For this violation, Respondent was barred from
Reference 2007011261701finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3273969 |
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