FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Datesort ascending
Case ID 2015047682402 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Dawn Bennett (CRD No. 1567051), Respondent. DISCIPLINARY PROCEEDING No. 2015047682402 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From November 2015 to the present, Respondent Dawn Bennett has failed to provide information and documentation requested by FINRA Staff in an investigation involving potentially serious violations, such as conversion, fraud, and private Document Type Complaints Firms/ Individuals
Action Date 11/09/2016