Allen Holeman

05/24/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALLEN HOLEMAN (CRD No. 1060910), Respondent. Disciplinary Proceeding No. 2014043001601 Hearing Officer-DW HEARING PANEL DECISION May 3, 2017 For willfully failing to timely update his Form U4 to disclose two tax liens and making false statements to his firm on annual compliance questionnaires, Respondent is suspended from associating with any FINRA member firm in any capacity for 30 business days

07/31/2019: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 86523 / July 31, 2019 Admin. Proc. File No. 3-18546 In the Matter of the Application of ALLEN HOLEMAN For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION--REVIEW OF DISCIPLINARY PROCEEDINGS Registered principal of FINRA member firm appeals from FINRA disciplinary action finding that he did not timely updated his Form U4 to disclose tax liens,

05/21/2018: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Allen Holeman Syosset, NY, Respondent. DECISION Complaint No. 2014043001601 Dated May 21, 2018 Respondent willfully failed to timely disclose material information on his Form U4 and made false statements to his firm on his annual

Reference 2014043001601data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org