TIMOTHY RODGERS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/24/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042274801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Timothy Rodgers ("Rodgers") General Securities Representative ("GSR") CRD No. 735129 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Timothy Rodgers, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2014042274801data-portal.finra.orgfinra.org
Other names1
Also known as1
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