DAVID MICHAEL GUTMAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/17/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID MICHAEL GUTMAN (CRD 2779960) AND CHRISTOPHER JOHN TYNDALL (CRD 3156096) Respondents. DISCIPLINARY PROCEEDING NO. 2012033227402 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: Summary 1. This matter involves unlawful insider trading and tipping. Respondents David Gutman and Christopher Tyndall engaged in a massive, serial insider trading scheme that generated more than
12/31/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. DAVID MICHAEL GUTMAN (CRD 2779960) AND CHRISTOPHER JOHN TYNDALL (CRD 3156096) Respondents. DISCIPLINARY PROCEEDING No. 2012033227402 HEARING OFFICER: MAD ORDER ACCEPTING DAVID M. GUTMAN'S OFFER OF SETTLEMENT December 31, 2013 INTRODUCTION Disciplinary Proceeding No. 2012033227402 was filed on May 17, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority
Reference 2012033227402data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2779960

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