SEAN FRANCIS SHERIDAN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/04/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. SEAN FRANCIS SHERIDAN (CRD NO. 3151928), RESPONDENT. DISCIPLINARY PROCEEDING No. 2009019209204 AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or about January 2007 through December 2009 (the Relevant Period), Sean Francis Sheridan recommended approximately 205 unsuitable mutual fund switch transactions in the accounts of eight customers. Sheridan only recommended Class A
02/12/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. SEAN FRANCIS SHERIDAN, CRD No. 3151928, RESPONDENT. DISCIPLINARY PROCEEDING No. 2009019209204 Hearing Officer - LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 12, 2013 INTRODUCTION Disciplinary Proceeding No. 2009019209204 was filed on August 29, 2012 and amended on October 4, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
Reference 2009019209204data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3151928 |
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