TIMOTHY JOHN LANE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/16/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. TIMOTHY JOHN LANE (CRD No. 2215044) Respondent. Disciplinary Proceeding No. 20050019203-01 Hearing Officer - AWH DEFAULT DECISION February 16, 2007 Formerly registered representative borrowed funds from a customer without approval of his member firm, in violation of NASD Conduct Rules 2370 and 2110, and failed to respond to NASD staff requests for information, in violation of Procedural Rule 8210 and Conduct Rule 2110. Respondent
Reference 2005001920301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2215044 |
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