ALLEN HUGO REICHMAN

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/18/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022584501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Allen Hugo Reichman, Respondent Former Registered Representative CRD No. 1002285 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 violations described below. This AWC is submitted on
Reference 2010022584501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/18/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETrER OF ACCEFrANCE, WAIVER AND CONSENT NO. 2010022584501 TO: Department of Enforcement Financial industry Regulatory Authority ("FINRA", RE: Allen Hugo Reichman, Respondent Former Registered Representative CRD No. 1002285 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, 1 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
Reference 2010022584502data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1002285

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