TONYA MARIE GRIFFIN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/02/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TONYA MARIE GRIFFIN (CRD No. 4568590), Respondent. Disciplinary Proceeding No. 2006006968202 Hearing Officer - Matthew Campbell DEFAULT DECISION February 2, 2009 Respondent is barred from associating with any FINRA member in any capacity for failing to respond to requests for information from FINRA staff, in violation of Conduct Rule 2110 and Procedural Rule 8210. Appearances: UnBo Chung, Senior
Reference 2006006968202data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4568590 |
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