Timothy Bernard Cooney
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/18/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064131101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy Bernard Cooney, Respondent Former Registered Representative CRD No. 2946727 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Timothy Bernard Cooney submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019064131101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2946727 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.