Lynn Dale Cawthorne
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/16/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Lynn Dale Cawthorne CRD No. 3211221, Respondent. Disciplinary Proceeding No. 2018059919702 Hearing Officer—BEK ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 16, 2020 INTRODUCTION Disciplinary Proceeding No. 2018059919702 was filed on August 25, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Lynn Dale Cawthorne
08/25/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Lynn Dale Cawthorne CRD No. 3211221, Respondent. Disciplinary Proceeding No. 2018059919702 Hearing Officer – COMPLAINT Department of Enforcement alleges: SUMMARY 1. Lynn Dale Cawthorne failed to comply with FINRA’s requests for information made pursuant to FINRA Rule 8210 in June, August, September, and November 2019 in connection with an investigation of (a) his failure to disclose multiple felony charges and (b) other
Reference 2018059919702data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3211221 |
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