25-01615(2).pdf
motion to vacate
FINRA.org will undergo scheduled maintenance Sunday, Nov. 1, from 8 p.m. to Monday, Nov. 2, 4 a.m. ET, with a brief five-minute outage during this window.
23-03614(3).pdf
Other (order dismissing the motion to confirm)
2025084675801 James Fredrick Tighe CRD 3129233 Complaint vrp.pdf
The Department of Enforcement alleges:
1. Respondent James Fredrick Tighe failed to provide documents and information that FINRA requested pursuant to FINRA Rule 8210, and further failed on two occasions to appear for and provide testimony that FINRA requested pursuant to FINRA Rule 8210.
23-03614(2).pdf
motion to confirm
