PLASE MICHAEL TANSIL
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/17/2007: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Plase Michael Tansil, Associated Person [CRD No. 2317768] Respondent. Disciplinary Proceeding No.2005002229201 Hearing Officer: COMPLAINT The Department of Enforcement alleges as follows: 1. Respondent Plase Michael Tansil was first registered as a general securities representative in April 1993, while associated with J.C. Bradford & Co. During all time relevant to this proceeding, Respondent Tansil was registered with NASD member
04/05/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. PLASE MICHAEL TANSIL, (CRD No. 2317768) RESPONDENT. DISCIPLINARY PROCEEDING NO.2005002229201 HEARING OFFICER - RSH ORDER ACCEPTING OFFER OF SETTLEMENT DATE: APRIL 5, 2007 INTRODUCTION Disciplinary Proceeding No. 2005002229201 was filed on or about January 17, 2007, by the Department of Enforcement of NASD ("Complainant"). Respondent Plase Michael Tansil ("Tansil") submitted an Offer of Settlement ("Offer") to Complainant on or about
Reference 2005002229201data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2317768 |
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