STACEY PAUL HOLLINS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/20/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STACEY PAUL HOLLINS (CRD No. 4700182) Respondent. Disciplinary Proceeding No.C10040120 Hearing Officer-Andrew H. Perkins DEFAULT DECISION April 20, 2005 The Respondent willfully failed to disclose his criminal record on a Form U-4, in violation of NASD Conduct Rule 2110 and IM-1000-1. The Respondent also failed to respond to four requests for information, in violation of NASD Procedural Rule 8210 and NASD Conduct
Reference C10040120data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4700182 |
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