Daryl Eugene Allison

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/19/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039096601 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Daryl Eugene Allison, Respondent General Securities Principal CRD No. 3686 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Daryl Eugene Allison ("Allison" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2014039096601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090170685XX TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Daryl Eugene Allison Registered Options Principal, General Securities Principal CRD No. 3686 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2009017068502data-portal.finra.org finra.org

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