BILLY JOE SIPES
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/01/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BILLY JOE SIPES (CRD No. 2045588) Respondent. Disciplinary Proceeding No.20050015758 Hearing Officer - DRP , DEFAULT DECISION March 1, 2007 Respondent is barred from association with any member firm in any capacity for failing to respond to requests for information, in violation of NASD Procedural Rule 8210 and NASD Conduct Rule 2110. In light of the bar, no additional sanctions are imposed for failing to amend his Form U-4, in
Reference 2005001575801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2045588 |
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