Tracy Rae Turner
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/03/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Tracy Rae Turner (CRD No. 1385745), Respondent. DISCIPLINARY PROCEEDING No. 2014040338401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From September 2013 through April 2014 (the "Relevant Period"), Respondent Tracy Turner participated in private securities transactions by offering and selling interests in three saltwater disposal well facilities ("SWD Interests") to twelve
04/04/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TRACY RAE TURNER (CRD No. 1385745), Respondent. Disciplinary Proceeding No. 2014040338401 Hearing Officer-MJD DEFAULT DECISION April 4, 2017 Respondent participated in private securities transactions without giving his firm prior written notice, in violation of NASD Rule 3040 and FINRA Rule 2010. Respondent is barred from associating with any member firm in any capacity and fined $272,879.04. He
Reference 2014040338401data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1385745 |
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