TINA MARIE NEWMAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/30/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TINA NEWMAN (CRD No. 2547704), Respondent. Disciplinary Proceeding No. 2008011719501 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION March 30, 2011 Respondent is barred from associating with any FINRA member firm in any capacity for conversion of firm funds, in violation of NASD Conduct Rule 2110. In addition, Respondent is ordered to pay the costs of this proceeding. Appearances Jeff Kern,
Reference 2008011719501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2547704

Other names1

Also known as1

TINA NEWMAN

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