TOMMY ROY HESTER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/26/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Tommy Roy Hester (CRD No. 5611899), Respondent. DISCIPLINARY PROCEEDING No. 2011025944001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In January and April 2010, Tommy Roy Hester ("Hester") violated FINRA Rule 2010 by misappropriating a total of $578.49 from four customers of his insurance company employer, Farmers Insurance Group ("FIG"). At the time, he was an independent contractor
08/16/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Tommy Roy Hester (CRD No. 5611899), Respondent. Disciplinary Proceeding No. 2011025944001 Hearing Officer MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 15, 2012 INTRODUCTION Disciplinary Proceeding No. 2011025944001 was filed on June 26, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Tommy Roy Hester
Reference 2011025944001data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5611899 |
Other names1
Also known as1
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