THOMAS J HIND

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045049101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Thomas J. Hind, Respondent Former Registered Representative CRD No. 5162110 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violation described below. This AWC is submitted
Reference 2015045049101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5162110

Other names1

Also known as1

THOMAS J. HIND

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