TIMOTHY L. ALLEN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/02/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006316001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Timothy L. Allen, Respondent General Securities Principal CRD No. 2348806 Pursuant to NASD Rule 9216 of the Code of Procedure, I, Timothy L. Allen, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the
Reference 2006006316001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2348806

Other names1

Also known as1

TIMOTHY LUKE ALLEN

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