TIMOTHY PATRICK HIGGINS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/21/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TIMOTHY P. HIGGINS (CRD No. 2282547), Respondent. Disciplinary Proceeding No. 2018056490303 Hearing Officer–MC DEFAULT DECISION September 21, 2022 Respondent Timothy P. Higgins is barred from associating with any FINRA member firm in any capacity for failing to appear and provide testimony as required when requested pursuant to FINRA Rule 8210. Appearances For the Complainant: Vaishali Shetty, Esq. Department
06/17/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2018056490303 Department of Enforcement, Complainant, v. Timothy P. Higgins CRD No. 2282547, Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1.Respondent Timothy P. Higgins (“Higgins” or “Respondent”) failed to appear and provide testimony requested pursuant to FINRA Rule 8210 on two occasions.
Reference 2018056490303data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2282547 |
Other names1
Also known as1
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