ANTHONY WARREN THOMPSON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANTHONY WARREN THOMPSON (CRD No. 445556), and TNP SECURITIES, LLC , (CRD No. 149178), Respondents. Disciplinary Proceeding No. 2011025785602 Hearing Officer-MC EXTENDED HEARING PANEL DECISION March 30, 2015 By making material misrepresentations and omissions in the sales of private placement securities to investors, Respondent Anthony Warren Thompson violated Section 10 (b) of the Securities
09/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Anthony Warren Thompson, (CRD No. 445556) TNP Securities, LLC, (CRD No. 149178) Respondents. DISCIPLINARY PROCEEDING No. 2011025785602 Hearing Officer - MC FIRST AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In February 2008, Respondent Anthony W. Thompson (Thompson) formed an entity through which Thompson intended to conduct business as a large-scale commercial real estate
Reference 2011025785602finra.orgdata-portal.finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 445556 |
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