SEC Issues Order Involving Consolidated Arbitration Applications
January 25, 2020
January 25, 2020
WASHINGTON, Jan. 25 -- The Securities and Exchange Commission issued the following order (Nos. 3-18616, 3-18617, 3-18877, 3-18879, 3-18883, 3-18894, 3-18910, 3-18919, 3-18934, 3-18988, 3-19013, 3-19016, 3-19017, 3-19019, 3-19219, 3-19228, 3-19405, 3-19573, 3-19574 and 3-19588) involving Consolidated Arbitration Applications:
ORDER SEVERING PROCEEDINGS
Thomas Prentice and Timothy Arthur Vanderver III filed applications for review of FINRA action denying them access to FI . . .
ORDER SEVERING PROCEEDINGS
Thomas Prentice and Timothy Arthur Vanderver III filed applications for review of FINRA action denying them access to FI . . .