ROBERT THOMSON ANGLE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/13/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Robert Thomson Angle (CRD No. 811495), Respondent. Disciplinary Proceeding No. 20120320331-01 Hearing Officer - CC ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 13, 2014 INTRODUCTION Disciplinary Proceeding No. 20120320331-01 was filed on January 2, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
01/02/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Robert Thomson Angle (CRD No. 811495), Respondent. DISCIPLINARY PROCEEDING No. 20120320331-01 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Robert Thomson Angle failed to provide information and documentation requested by FINRA staff pursuant to FINRA Rule 8210. RESPONDENT AND JURISDICTION
Reference 2012032033101data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 811495 |
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