Type not stated
Screen this subjectEthan Heisey
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/01/2026: From April to October 2024, Heisey received $42,000 for referring approximately 140 individuals to an outside insurance marketing organization without disclosing this business activity to his member firm. Therefore, Heisey violated FINRA Rules 3270 and 2010. For this violation, Heisey is suspended for two months and fined $5,000.
Reference 2024081842201data-portal.finra.orgfinra.org
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