BRYAN LEE ADDINGTON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/20/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRYAN LEE ADDINGTON (CRD No. 2641975), Respondent. Disciplinary Proceeding No. 2010021774001 Hearing Officer-Andrew H. Perkins DEFAULT DECISION July 20, 2011 Respondent is barred from associating with any FINRA registered firm in any capacity for misuse of customer funds, in violation of NASD Conduct Rule 2330(a) and FINRA Conduct Rules 2150(a) and 2010; and failing to respond to requests for
03/23/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRYAN LEE ADDINGTON, (CRD No. 2641975) Respondent. Disciplinary Proceeding No. 2010021774001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Bryan Lee Addington (Addington) misused customer funds from approximately September 4,2009 until approximately February 11,2010, in violation of NASD Conduct Rule 2330
Reference 2010021774001data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2641975 |
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