GEORGE WILLIAM CARRIS, MR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORIY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN CARRIS INVESTMENTS, LLC (CRD No. 145767), GEORGE CARRIS, (CRD No. 3079577), ANDREY TKATCHENKO, (CRD No. 2712245), JASON BARTER, (CRD No. 2552583), and RANDY HECHLER, (CRD No. 2292597), Respondents. Disciplinary Proceeding No. 2011028647101 Hearing Officer-MAD AMENDED EXTENDED HEARING PANEL DECISION1 January 20, 2015 Respondents John Carris Investments,
06/07/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, DISCIPLINARY PROCEEDING No. 2011028647101 Complainant, V. John Carris Investments, LLC (CRD No. 145767), George Carris (CRD No. 3079577), XXXXXX XXXXXXXX XXXX XXX XXXXXXXXX EXPEDITED Andrey Tkatchenko (CRD No. 2712245), COMPLAINT XXXXX XXXXXXX XXXX XXX XXXXXXXXX and Jason Barter (CRD No. 2552583), Respondents. The Department of Enforcement alleges: SUMMARY 1. Beginning on or about January 2010, through
Reference 2011028647101data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3079577 |
Other names1
Also known as1
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