CARLTON I PHELPS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/13/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, ' Disciplinary Proceeding Complainant, No. 2015044145201 1 1 V. Hearing Officer-Andrew H. Perkins ' CARLTON I. PHELPS DEFAULT DECISION (CRD No. 6403922), I May 13, 2016 Respondent. 1 Respondent is barred from associating with any FINRA member firm in any capacity for conversion, in violation of FINRA Rule 2010. Appearances For the Complainant: Erica L. Gerson, Esq., Department of Enforcement, Financial
10/16/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Carlton I. Phelps (CRD No. 6403922), Respondent. DISCIPLINARY PROCEEDING No. 2015044145201 Hearing Officer- COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During a three-month period in late 2014, Respondent Carlton I. Phelps ("Respondent" or "Phelps") engaged in check kiting by (a) writing 14 checks from his bank accounts knowing that he had insufficient funds to
Reference 2015044145201data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6403922 |
Other names1
Also known as1
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