Troy Allen Orlando

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/22/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060753505 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Troy Allen Orlando (Respondent) Former General Securities Representative CRD No. 6055474 Pursuant to FINRA Rule 9216, Respondent Troy Allen Orlando submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019060753505data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/20/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077024401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Troy Allen Orlando (Respondent) Former General Securities Representative CRD No. 6055474 Pursuant to FINRA Rule 9216, Respondent Troy Allen Orlando submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2023077024401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6055474

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