TAM THANH TRAN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TAM THANH TRAN (CRD No. 4703139), Respondent. Disciplinary Proceeding No. 2010021580201 Hearing Officer-AWL DEFAULT DECISION September 25, 2012 Respondent is barred from associating with any FINRA registered firm in any capacity for failing to respond to requests for information, in violation of FINRA Rules 8210 and 2010. In light of the bar, no additional sanctions are imposed for Respondent
Reference 2010021580201finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4703139 |
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