Michael John Ahearn
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/12/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael John Ahearn (CRD No. 2661001), Respondent. DISCIPLINARY PROCEEDING No. 2016051389101 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Michael John Ahearn provided false information in a written response to a FINRA Rule 8210 request and false testimony during an on-the-record-interview, in violation of FINRA
04/29/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Michael john Ahearn (CRD No. 661001), Respondent. Disciplinary Proceeding No. 2016051389101 Hearing Officer MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 29, 2019 INTRODUCTION Disciplinary Proceeding No. 2016051389101 was filed on September 12, 2018, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)
Reference 2016051389101data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2661001 |
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