TODD LLOYD GOEDEKE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/07/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Todd Lloyd Goedeke (CRD No. 1210932) Respondent. DISCIPLINARY PROCEEDING NO. 20100237418-01 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Todd Lloyd Goedeke ("Goedeke" or the "Respondent") violated FINRA Rule 2010 by misappropriating a customer's funds and violated FINRA Rules 8210 and 2010 by failing to respond to requests made pursuant to FINRA Rule 8210.
04/04/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Todd Lloyd Goedeke, CRD No. 1210932, Respondent. Disciplinary Proceeding No. 20100237418-01 Hearing Officer: Rada Lynn Potts ORDER ACCEPTING OFFER OF SETTLEMENT Date: 4/3/13 INTRODUCTION Disciplinary Proceeding No. 20100237418-01 was filed on November 7, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Todd Lloyd Goedeke
Reference 2010023741801data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1210932 |
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