GILES ANTHONY HOAGLAND

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Giles Anthony Hoagland (CRD No. 4160185), Respondent. DISCIPLINARY PROCEEDING NO. 2011027456401 COMPLAINT The Department of Enforcement alleges: SUMMARY From April 2008 to April 2011, Giles Anthony Hoagland ("Hoagland" or the "Respondent") violated FINRA Rule 2010 by misappropriating a local labor union's disability insurance premium payments to pay for his personal and business expenses. Hoagland
05/06/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, GILES ANTHONY HOAGLAND (CRD No. 4160185), Respondent. Disciplinary Proceeding No. 2011027456401 Hearing Officer-SNB DEFAULT DECISION May 6, 2013 Respondent is barred from associating with any FINRA registered firm in any capacity for misappropriating insurance premium payments, in violation of FINRA Rule 2010, and for failing to respond to requests for information, in violation of Procedural Rule 8210
Reference 2011027456401data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4160185

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