Frederick David Holloway
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/01/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Frederick David Holloway (CRD No. 248814), Respondent. DISCIPLINARY PROCEEDING NO. 2016050025401 SECOND AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between January 2013 and June 2016, Respondent Frederick David Holloway, the sole registered representative and owner of Holloway & Associates, Inc. (“HAI”), recommended that
04/11/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FREDERICK DAVID HOLLOWAY (CRD No. 248814), Respondent. Disciplinary Proceeding No. 2016050025401 Hearing Officer–DW AMENDED1 HEARING PANEL DECISION April 11, 2019 Respondent Frederick David Holloway improperly recommended variable annuity exchanges for dozens of clients. During a FINRA investigation into his conduct, Holloway responded to Rule 8210 requests for documents and information by
Reference 2016050025401data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 248814 |
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