Defendant Name:
Stephen M. Folan
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Stephen M. Folan
First Document Date
10-Jan-2012
Initial Filing Format
Administrative Action
File Number
3-14687
Allegation Type
Broker Dealer
Affiliations
- Former: Broker/Registered Representative at FTN Financial Securities Corp. (January 2005—March 2011)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 3 years
- Bar from participating in any penny stock offering for 3 years
First Resolution Date
