RYAN LINCOLN RAYFORD
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/03/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ryan Lincoln Rayford (CRD No. 6103871), Respondent DISCIPLINARY PROCEEDING No. 2013037336401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On May 23, 2013, Ryan Lincoln Rayford ("Rayford") was terminated by his FINRA regulated broker-dealer for allegedly engaging in a check kiting scheme. After initiating an investigation, FINRA requested pursuant to FINRA Rule 8210
04/28/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RYAN LINCOLN RAYFORD (CRD No. 6103871), Respondent. Disciplinary Proceeding No. 2013037336401 Hearing Officer-Andrew H. Perkins DEFAULT DECISION April 28, 2015 Respondent is barred from associating with any FINRA registered firm in any capacity for failing to respond to requests for information, in violation of Rules 8210 and 2010.
Reference 2013037336401data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6103871 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.