2019064333401 D. Allen Blankenship CRD 2842335 Complaint gg (2024-1704586794218).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. D. Allen Blankenship, CRD No.2842335, Respondent. Disciplinary Proceeding No. 2019064333401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period from August 2016 to September 2019 (the “Relevant Period”), while registered through the firm, Independent Financial Group, LLC (BD No. 7717) (IFG), respondent D. Allen Blankenship engaged in unsuitable mutual fund trading.

Regulatory Notice 24-18

On occasion, the securities markets may unexpectedly close for business, for example, on a national day of mourning declared by the president of the United States. This Notice provides updated guidance to members regarding SEA Rules 15c3-1, 15c3-3, 17a-5, Rule 204 under Regulation SHO, FINRA Rules 4210, 4230(b), 4521 and 4524, and Federal Reserve Board Regulation T in the event of such an unexpected close.
Subscribe to