TIMOTHY L. PITTMAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/29/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TIMOTHY L. PITTMAN (CRD No. 2955718), Respondent. Disciplinary Proceeding No. 2010021627601 Hearing Officer-Andrew H. Perkins AMENDED HEARING PANEL DECISION December 29, 2011 Respondent failed to appear and provide testimony in connection with a FINRA investigation, in violation of Rules 8210 and 2010, and borrowed money from a customer, in violation of Rules 2370 and 2110. Respondent is barred
Reference 2010021627601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2955718

Other names1

Also known as1

TIMOTHY LEON PITTMAN

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