ARTHUR ALBERT HALLEEN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/05/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ARTHUR ALBERT HALLEEN, CRD No. 842624, Respondent. Disciplinary Proceeding No. 2008014611101 Hearing Officer: ___ COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Over the span of more than two decades, Arthur Halleen took approximately $337,000 from approximately 14 customers. In return for the money, Halleen told customers he would invest in unspecified products and repay them with
05/27/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Arthur Albert Halleen CRD No. 842624, Respondent. Disciplinary Proceeding No. 2008014611101 Hearing Officer Sara Nelson Bloom ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 26, 2010 INTRODUCTION Disciplinary Proceeding No. 2008014611101 was filed on April 5, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Arthur Albert Halleen
Reference 2008014611101data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 842624 |
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