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22-01266(4).pdf
order to confirm
24-02444(2).pdf
motion to vacate
2025084675801 James Frederick Tighe CRD 3129233 OHO Decision df.pdf
Respondent violated FINRA Rules 8210 and 2010 by failing to provide documents and information and failing to appear for testimony requested pursuant to FINRA Rule 8210. For this misconduct, he is barred from associating with any FINRA member firm in any capacity.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Information
- Reporter ID
- MLWM
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://www.ml.com/legal.html
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 06-23-2026 | https://www.ml.com/legal.html |