ALONZO L. BETHEA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/24/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Alonzo L. Bethea (CRD No. 2184794), Respondent. DISCIPLINARY PROCEEDING No. 2009020491401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From March 2007 to July 2010, Alonzo L. Bethea sold interests in a limited liability company he operated and controlled without proper disclosure of such activity to his employer member firms. He also operated an investment club without notice to his
12/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Alonzo L. Bethea, CRD No. 2184794, Respondent. DISCIPLINARY PROCEEDING No. 2009020491401 Hearing Officer - LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 7, 2011 INTRODUCTION Disciplinary Proceeding No. 2009020491401 was filed on October 24, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Alonzo L. Bethea submitted an
Reference 2009020491401data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2184794 |
Other names1
Also known as1
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