DONALD J. TINTLE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/31/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. DONALD J. TlNTLE (CRD No.4855119), RESPONDENT. DISCIPLINARY PROCEEDING No. 2005003330001 COMPLAINT The Department of Enforcement alleges: 1. On or about January 28,2005, Respondent Donald J. Tintle ("Tintle") became associated with NYLIFE Securities Inc., an NASD member firm. 2. On or about January 28,2005, a Form U4 was filed
11/13/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DONALD J. TINTLE (CRD No. 4855119), Respondent. Disciplinary Proceeding No.2005003330001 Hearing Officer-DMF DEFAULT DECISION November 13,2006 Summary Respondent is barred from associating with any NASD member in any capacity for misuse of customer funds, in violation of Rules 2330(a) and 2110, and failing to respond to requests for information
Reference 2005003330001data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4855119 |
Other names1
Also known as1
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