ALLERTON TOWNE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/20/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. ALLERTON TOWNE (CRD No. 1212315) Respondent. DISCIPLINARY PROCEEDING NO. 20050030310 HEARING OFFICER: COMPLAINT Upon information and belief, the Department of Market Regulation alleges as follows: Overview 1. Respondent Allerton Towne made improper use of customer funds, failed to notify his firm of outside business activities, and failed to respond to requests for information
01/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. ALLERTON TOWNE (CRD No. 1212315), Respondent. Disciplinary Proceeding No. 20050030310 Hearing Officer - Sara Nelson Bloom January 30, 2009 For misuse of funds, in violation of Rules 2330 and 2110, and for failure to provide requested information, in violation of Rules 8210 and 2110, Respondent is barred from associating with any FINRA member in any capacity.
Reference 2005003031001data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1212315 |
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