DARREN JAMES POWELL
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/02/2007: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Darren James Powell General Securities Representative CRD No. 2666058 Respondent Disciplinary Proceeding No. 2005002154901 COMPLAINT The Department of Enforcement alleges: 1. Respondent Darren James Powell entered the securities industry in November 2000 as a General Securities Representative with an NASD member firm. From December 2002 to October 2004, he registered serially with four different NASD member firms. On October 14,
11/02/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DARREN JAMES POWELL (CRD No. 2666058), Respondent. Disciplinary Proceeding No. 2005002154901 v. Hearing Officer-Andrew H. Perkins DEFAULT DECISION November 2, 2007 Respondent is barred from associating with any FINRA member firm in any capacity for failing to appear and provide testimony at an on-the-record interview, in violation of NASD Procedural Rule 8210 and NASD Conduct Rule 2110, and for
Reference 2005002154901finra.orgdata-portal.finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2666058 |
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