ALEXIS J. POLLARD

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/22/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALEXIS J. POLLARD (CRD No. 5543185), Respondent. Disciplinary Proceeding No. 2008013810901 Hearing Officer-Sara Nelson Bloom DEFAULT DECISION March 22, 2010 For failing to provide requested information, in violation of Rules 8210 and 2110, and willfully failing to make required disclosures on her Form U4, in violation of
Reference 2008013810901finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5543185

Other names1

Also known as1

ALEXIS JAQUELINE POLLARD

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