James Frederick Tighe

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/22/2026: Respondent violated FINRA Rules 8210 and 2010 by failing to provide documents and information and failing to appear for testimony requested pursuant to FINRA Rule 8210. For this misconduct, he is barred from associating with any FINRA member firm in any capacity.
Reference 2025084675801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/09/2026: The Department of Enforcement alleges: 1. Respondent James Fredrick Tighe failed to provide documents and information that FINRA requested pursuant to FINRA Rule 8210, and further failed on two occasions to appear for and provide testimony that FINRA requested pursuant to FINRA Rule 8210. FINRA issued these requests for documents, information, and testimony as part of its investigation into, among other things, whether Tighe improperly accepted instructions from an unauthorized third party to transfer funds from a client account, and whether he used any unapproved personal devices for business-related communications. As a result of his failure to provide documents, information, and testimony requested pursuant to FINRA Rule 8210, Tighe violated FINRA Rules 8210 and 2010...
Reference 2025084675801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3129233

Other names1

Also known as1

James Fredrick Tighe

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