RONALD MARK HEINEMAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/06/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. HALCYON CABOT PARTNERS, LTD. (CRD No. 32664), MICHAEL TRENT MORRIS (CRD No. 843281), AND RONALD MARK HEINEMAN (CRD No. 241924), Respondents. Disciplinary Proceeding No. 2012033877802 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 6, 2015 INTRODUCTION Disciplinary Proceeding No. 2012033877802 was filed on July 28, 2015, by the Department of Enforcement
07/28/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. HALCYON CABOT PARTNERS, LTD. (CRD No. 32664), MICHAEL TRENT MORRIS (CRD No. 843281), AND RONALD MARK HEINEMAN (CRD No. 241924), RESPONDENTS. DISCIPLINARY PROCEEDING NO. 2012033877802 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between December 2010 and May 2013 (the "Relevant Period")
Reference 2012033877802data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	241924

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