MARK R. TALLEY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/30/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Mark R. Talley (CRD No. 4969783), Respondent. DISCIPLINARY PROCEEDING No. 2012032650301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In July 2011, Mark Talley falsely told a customer that the sale of a variable annuity he recommended would not result in a surrender fee. In fact, the customer incurred a $15,000 surrender fee when he engaged in the sale.
02/11/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Mark R. Talley (CRD No. 4969783), Respondent. Disciplinary Proceeding No. 2012032650301 Hearing Officer - DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 11, 2014 INTRODUCTION Disciplinary Proceeding No. 2012032650301 was filed on December 30, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
Reference 2012032650301data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4969783 |
Other names1
Also known as1
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