TYLER JAMES WOODWARD
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/04/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Tyler J. Woodward (CRD No. 6032935), Respondent. DISCIPLINARY PROCEEDING NO. 2018058866401 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From June 2018 to the present, Respondent Tyler J. Woodward has failed to provide information and documents requested by FINRA Staff pursuant to FINRA Rule 8210 in an investigation involving serious violations of FINRA rules
03/12/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TYLER J. WOODWARD (CRD No. 6032935), Respondent. DISCIPLINARY PROCEEDING No. 2018058866401 Hearing Officer-LOM DEFAULT DECISION March 12, 2019 Respondent Tyler J. Woodward is barred for failing to provide documents and information requested pursuant to FINRA Rule 8210.
Reference 2018058866401data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6032935 |
Other names1
Also known as1
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