BRIAN PATRICK TROY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/07/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009020760401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brian Patrick Troy, Respondent General Securities Representative CRD No. 2822291 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Brian Patrick Troy ("Troy" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2009020760401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2822291 |
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