Timothy Stephen Dembski

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/03/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Timothy Stephen Dembski, (CRD No. 2575882) and Walter Francis Grenda, Jr. (CRD No. 722911), Respondents. Disciplinary Proceeding No. 2013036168701 Hearing Officer: CC ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 3, 2016 INTRODUCTION Disciplinary Proceeding No. 2013036168701 was filed on December 10, 2014 by the Department of Enforcement of the Financial Industry Regulatory Authority
12/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Timothy Stephen Dembski (CRD No. 2575882), and Walter Francis Grenda Jr. (CRD No. 722911) Respondents. DISCIPLINARY PROCEEDING NO. 2013036168701 COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. Between March 1, 2012 and September 1, 2012, Respondent Timothy Stephen Dembski ("Dembski") fraudulently induced two retail customers to invest in a hedge fund,
Reference 2013036168701data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2575882

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