Tim Leissner

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/11/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2016049149601 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Tim Leissner, Respondent CRD No. 3146057 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Tim Leissner(“Leissner”) submit this Letter of Acceptance, Waiver and Consent(“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2016049149601finra.org data-portal.finra.org
Effective
11 Mar 2019
US Federal Reserve Enforcement Actions
Federal Reserve BoardUS Federal Reserve Enforcement ActionsUnited States
Prohibition from Banking and civil money penalty, $1,425,000
Programme US-FED-ENFfederalreserve.gov federalreserve.gov

Identifiers1

Identifier	Number
ID number	3146057

Supporting documents1

Federal Reserve Board permanently bars two former employees of The Goldman Sachs Group, Inc. from the banking industry
2019-03-12
https://www.federalreserve.gov/newsevents/pressreleases/enforcement20190312a.htm

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