MARK ANTHONY POOLE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/05/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. MARK ANTHONY POOLE (CRD No. 3272063), Respondent. Disciplinary Proceeding No.C3A050015 Hearing Officer - AWH DEFAULT DECISION August 5, 2005 Formerly registered person barred from association with any member firm in any capacity for failing to disclose felony charges on the Form U-4, in violation of NASD Conduct Rule 2110 and IM-1000-1, and failing to
Reference C3A050015data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3272063 |
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