TIMOTHY P. SHIVELY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/15/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006615401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Timothy P. Shively, Respondent CRD No. 1664561 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2006006615401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1664561

Other names1

Also known as1

TIMOTHY PATRICK SHIVELY

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