ROBERT JOSEPH FLANAGAN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/20/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Robert Flanagan, CRD No. 5755699, Respondent. DISCIPLINARY PROCEEDING NO. 2016050447102 HEARING OFFICER: COMPLAINT The Department of Enforcement (“Enforcement”) alleges: SUMMARY 1. In 2016, Enforcement opened an investigation into Robert Flanagan’s (“Flanagan” or “Respondent”) potential failure to disclose a civil judgment on his
06/08/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT FLANAGAN (CRD No. 5755699), Respondent. Disciplinary Proceeding No. 2016050447102 Hearing Officer–KBW DEFAULT DECISION June 8, 2018 Respondent failed to respond to two FINRA Rule 8210 requests for documents and information until he was served with a Notice of Suspension. Respondent also completely failed to respond to three subsequent FINRA Rule
Reference 2016050447102finra.orgdata-portal.finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5755699 |
Other names1
Also known as1
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