TIMOTHY M. WHEELER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/26/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TIMOTHY M. WHEELER, (CRD No. 5786068), Respondent. Disciplinary Proceeding No. 2010024320101 Hearing Officer - LOM HEARING PANEL DECISION February 26, 2013 Respondent Timothy M. Wheeler violated FINRA Rule 2010 by falsifying test score reports to make it appear that he had passed the Series 66 examination when he did not. For this violation, Wheeler is barred from association with any FINRA
Reference 2010024320101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5786068 |
Other names1
Also known as1
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