TIMOTHY B. DICKEY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/28/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Timothy B. Dickey, Investment Company and Variable Contracts Products Principal and Representative, General Securities Representative, and Corporate Securities Representative [CRD No. 2541369], Respondent. Disciplinary Proceeding No. C05050017 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Timothy B. Dickey entered the securities industry in September 1994 as an Investment Company and
10/03/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. TIMOTHY B. DICKEY (CRD No. 2541369), Respondent. Disciplinary Proceeding No. C05050017 Hearing Officer - AWH DEFAULT DECISION October 3, 2005 Formerly registered representative (1) made unsuitable recommendations, in violation of NASD Conduct Rules 2310 and 2110, (2) engaged in private securities transactions, in violation of NASD Conduct Rules 3040 and 2110, and (3) failed to respond to requests for information, in
Reference C05050017data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2541369 |
Other names1
Also known as1
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