SEC Issues Order Involving TMR Bayhead Securities
January 17, 2020
January 17, 2020
WASHINGTON, Jan. 17 -- The Securities and Exchange Commission issued the following order (No. 3-18869) involving TMR Bayhead Securities:
OPINION OF THE COMMISSION
REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDING
Failure to Comply with Reporting Requirements
FINRA member firm filed annual reports that failed to comply with reporting requirements. Held, FINRA's findings of violations and the suspension imposed are sustained b . . .
OPINION OF THE COMMISSION
REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDING
Failure to Comply with Reporting Requirements
FINRA member firm filed annual reports that failed to comply with reporting requirements. Held, FINRA's findings of violations and the suspension imposed are sustained b . . .