JAMES FREDERICK VAN DOREN

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/19/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. JAMES VAN DOREN (CRD No. 5048067), Respondent. Disciplinary Proceeding No. 20130367071 Hearing Officer-LOM DEFAULT DECISION, April 19,2016 Respondent is barred from associating with any FINRA member firm in any capacity for his unethical conduct by assisting a friend and business associate with concealing assets from the friend's creditors, facilitating his friend's violations of law, and
Reference 20130367071data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/03/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. James Van Doren (CRD No. 5048067), DISCIPLINARY PROCEEDING No. 20130367071 Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between September 2008 and January 2009, James Van Doren ("Van Doren") participated in a scheme to defraud creditors of his friend and business associate, BB, by concealing BB's assets from them. Van Doren - whose outside business had invested
Reference 2013036707101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5048067

Other names1

Also known as1

JAMES VAN DOREN

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