ALAN D SCHELL
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/14/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALAN D. SCHELL (CRD No. 4955739), Respondent. Disciplinary Proceeding No. 20090176940 Hearing Officer-Andrew H. Perkins DEFAULT DECISION September 14, 2010 Schell is barred from associating with any FINRA registered firm in any capacity for conversion of funds, in violation of NASD Conduct Rule 2110 and FINRA Conduct Rule 2010; and failing to respond to requests for information, in violation
05/18/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, COMPLAINANT, V. Alan D, Schell CRD No. 4955739 RESPONDENT. DISCIPLINARY PROCEEDING No. 20090176940 COMPLAINT The Department of Enforcement alleges: RESPONDENT & JURISDICTION 1. In June 2005, Respondent Alan D. Schell ("Respondent") became registered with Wachovia Securities, LLC ("Wachovia" or the "Firm") as a result of his employment as a result of his employment as a financial specialist with
Reference 2009017694001data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4955739 |
Other names1
Also known as1
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