ALLEN WILLIAM FOILES
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/01/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALLEN WILLIAM FOILES (CRD No. 2045454), Respondent. Disciplinary Proceeding No. 2009016494001 Hearing Officer-MC DEFAULT DECISION April 2, 2011 Respondent, employed as a compliance officer for a FINRA member firm, falsified the firm's compliance records and misled the firm by falsely claiming to have discharged supervisory responsibilities assigned to him, in violation of NASD Conduct Rules 2110 and
Reference 2009016494001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2045454 |
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