MARK ALLAN PLUMMER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/13/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TEXAS E&P PARTNERS, INC., F/K/A CHESTNUT EXPLORATION PARTNERS, INC., F/K/A CHESTNUT ENERGY PARTNERS, INC. (CRD No. 127228), and MARK A. PLUMMER (CRD No. 4608699), Respondents. Disciplinary Proceeding No. 2014040501801 Hearing Officer -DRS EXTENDED HEARING PANEL DECISION Texas E&P Partners, Inc. is expelled for providing a falsified document to FINRA during an investigation. In light of the
07/21/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Chestnut Exploration Partners, Inc., f/k/a Chestnut Energy Partners, Inc. (CRD No. 127228), and Mark A. Plummer (CRD No. 4608699), Respondents. DISCIPLINARY PROCEEDING No. 2014040501801 COMPLAINT The Department of Enforcement alleges: I. INTRODUCTION 1. Respondent Chestnut Exploration Partners, Inc., formerly known as Chestnut Energy Partners, Inc. (and with both entities referred to here
Reference 2014040501801data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4608699 |
Other names1
Also known as1
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