MARK ALAN USELTON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/08/2010: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Legacy Trading Co., LLC Edmond, OK, and Mark Alan Uselton Edmond, OK, Respondents. Complaint No. 2005000879302 Dated: October 8, 2010 Respondents made false statements to FINRA; failed to make affirmative determinations and locate shares prior to effecting short sales; failed to maintain books and records; and failed to establish, maintain, and enforce written
Reference 2005000879302finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2229571 |
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