SHANE M. TURNER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/19/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Shane M. Turner CRD No. 4639366, Respondent. DISCIPLINARY PROCEEDING No. 2006005347401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From on or about March 18, 2005, until on or about October 18, 2005, Respondent Shane M. Turner ("Turner") engaged in private securities transactions without prior notice to and approval by his employer firm, PrimeVest Financial Services, Inc.
07/01/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SHANE M. TURNER (CRD No. 4639366), Respondent. Disciplinary Proceeding No. 2006005347401 Hearing Officer -AWH DEFAULT DECISION July 1, 2008 Respondent is barred from associating with any FINRA member in any capacity for improper use of customer funds, in violation of NASD Conduct Rule 2110, and failing to respond to requests for information, in violation of NASD Rules 8210 and 2110. In light of the
Reference 2006005347401data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4639366 |
Other names1
Also known as1
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