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ANDREW J. PATTON

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/01/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Andrew J. Patton, Respondent General Securities Representative [CRD No. 2428998] Respondent. Disciplinary Proceeding No. C05050003 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Andrew J. Patton entered the securities industry on December 15, 1993 as a General Securities Representative of UBS Financial Services, a member of NASD. Andrew J. Patton, during all periods mentioned herein, was

    06/09/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Andrew J. Patton, Respondent General Securities Representative [CRD No. 2428998] Respondent. Disciplinary Proceeding No. C05050003 Hearing Officer: RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 9, 2006 INTRODUCTION Disciplinary Proceeding No. C05050003 was filed on February 1, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Andrew J. Patton submitted an Offer of Settlement ("Offer") to Complainant on

    Reference C05050003data-portal.finra.orgdata-portal.finra.orgfinra.org

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