ANDREW LYMAN QUINN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Andrew Lyman Quinn (CRD No. 2453320), Respondent. DISCIPLINARY PROCEEDING No. 2013038136101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Andrew Lyman Quinn borrowed money from his customer in contravention of NASD and FINRA rules. Subsequently, on a compliance questionnaire administered by his member firm, he falsely denied having borrowed money from any customer.
10/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANDREW LYMAN QUINN (CRD No. 2453320), Respondent. Disciplinary Proceeding No. 2013038136101 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION October 23, 2015 Former registered representative is barred for failing to respond to Rule 8210 requests for information and documents.
Reference 2013038136101data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2453320 |
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