TRACI RENAE FAULKS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/25/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT v. TRACI RENAE FAULKS (CRD No. 5142663), Respondent. Disciplinary Proceeding No. 20080128975 DEFAULT DECISION Hearing Officer - Sara Nelson Bloom June 25, 2010 Respondent is barred from associating with any FINRA member in any capacity for misappropriating funds, in violation of Rule 2110, and failing to appear for testimony, in violation of Rules 8210 and 2010. Appearances Eugene Allan Schlanger, Esq., New York,
12/01/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. TRACI RENAE FAULKS (CRD No. 5142663), Respondent. DISCIPLINARY PROCEEDING No. 20080128975 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In or about January and February 2008, Traci Renae Faulks ("Faulks"), while employed at Allstate Insurance Company Allstate Insurance Company ("Allstate Insurance") as an independent contractor insurance agent and registered as a Series 6 with
Reference 2008012897501data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5142663 |
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