RANDALL C. BARKER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RANDALL C BARKER - (CRD No. 2474154), Respondent. Disciplinary Proceeding No. 2008013441601 Hearing Officer-LBB DEFAULT DECISION October 23, 2009 Respondent is barred from associating with any member firm for conversion of funds in violation of NASD Conduct Rule 2110, He is also barred for failure to respond to requests
06/09/2009: RECEIVED FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RANDALL C. BARKER, CRD No. 2474154 Respondent. Disciplinary Proceeding No. 20080134416 Hearing Officer: COMPLAINT The Department of Enforcement alleges as follows: SUMMARY 1. Between April 2007 and April 2008, Respondent, Randall C Barker, misappropriated over $16,000 from Farmer's Insurance
Reference 2008013441601data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2474154

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