Dennis Allen Hayes
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/22/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY Department of Enforcement, Complainant, v. Dennis Allen Hayes (CRD No. 4403550), Respondent Disciplinary Proceeding No. 2016050883001 Hearing Officer: RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 22, 2019 INTRODUCTION Disciplinary Proceeding No. 2016050883001 was filed on January 11, 2019, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
01/11/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Dennis Allen Hayes (CRD No. 4403550), Respondent. DISCIPLINARY PROCEEDING No. 2016050883001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between March 2010 and June 2016 (the "Selling Away Period"), while he was associated with Newbridge Securities Corporation (BD No. 104065) ("Newbridge" or the "Firm"), Respondent Dennis Allen
Reference 2016050883001data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4403550 |
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