Cybersecurity Supervision
This course examines best practices for firms to establish and implement strong cybersecurity procedures. It also provides information on granting employees and vendors access to information and preventing data breaches.
New Rule 3241
This course provides an overview of new FINRA Rule 3241 as well as resources to find answers to questions and learn more.
2018056490303 Timothy P. Higgins CRD 2282547 OHO Decision jlg (2022-1666830010646).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
DEPARTMENT OF ENFORCEMENT,
Complainant,
v.
TIMOTHY P. HIGGINS
(CRD No. 2282547),
Respondent.
Disciplinary Proceeding
No. 2018056490303
Hearing Officer–MC
DEFAULT DECISION
September 21, 2022
Respondent Timothy P. Higgins is barred from associating with any FINRA
member firm in any capacity for failing to appear and provide testimony as
required when requested pursuant to FINRA Rule 8210.
Appearances
For the Complainant: Vaishali Shetty, Esq. Department