Proceeding Number 2010021627601
Amended Hearing Panel Decision in Department of Enforcement v. Timothy L. Pittman
December 29, 2011
Respondent failed to appear and provide testimony in connection with a FINRA investigation, in violation of Rules 8210 and 2010, and borrowed money from a customer, in violation of Rules 2370 and 2110. Respondent is barred from associating with any FINRA registered firm in any capacity.
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