MARK CHRISTOPHER HOTTON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/20/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Mark Christopher Hotton (CRD No. 2346843), Respondent. Disciplinary Proceeding No. 2009017408101 Hearing Officer LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 20, 2013 INTRODUCTION Disciplinary Proceeding No. 2009017408101 was filed on November 5, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Mark Christopher Hotton
11/05/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Mark Christopher Hotton (CRD No. 2346843), Respondent. DISCIPLINARY PROCEEDING No. 2009017408101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From at least July 24, 2006, former registered representative Mark Christopher Hotton engaged in numerous, varied, and interrelated schemes to steal at least $5,932,000 from his brokerage customers. Hotton converted funds from his customers by
Reference 2009017408101data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2346843 |
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