BARRY LEE ENGEN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/03/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Barry Lee Engen (CRD No. 1613162), Respondent. DISCIPLINARY PROCEEDING No. 2012033634301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From October 2005 through December 2011, Barry Lee Engen violated FINRA Rule 2010, and its predecessor, NASD Rule 2110
05/21/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BARRY LEE ENGEN (CRD No. 1613162), Respondent. Disciplinary Proceeding No. 2012033634301 Hearing Officer-Carla Carloni DEFAULT DECISION May 21, 2014 Respondent converted insurance funds and failed to respond to two requests for information and documents. For this misconduct, the Hearing Officer bars Respondent in all capacities.
Reference 2012033634301data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1613162

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