SETH ANDREW LEYTON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/22/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Viewpoint Securities, LLC. (CRD #104226) and Seth Leyton (CRD #2138891), Respondents. DISCIPLINARY PROCEEDING No. 2011028122901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondents Viewpoint and Leyton violated Section 10(b) of the Exchange Act, Rule 10b-5 thereunder, NASD Rule 2320(a)(2), and FINRA Rules 2020 and 2010 by engaging in the fraudulent sale of a CMO to a Viewpoint
10/11/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Viewpoint Securities, LLC (CRD #104226) and Seth Leyton (CRD #2138891), Respondents. Disciplinary Proceeding No. 2011028122901 Hearing Officer: MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 11, 2013 INTRODUCTION Disciplinary Proceeding No. 2011028122901 was filed on May 22, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
Reference 2011028122901data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2138891

Other names1

Also known as1

SETH LEYTON

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