Proceeding Number 2006006192901

Hearing Panel Decision in Department of Enforcement v. Denis William Kraemer, Jr.

December 15, 2008

Respondent is suspended in all capacities from associating with any FINRA member for nine months and fined $5,000 for his willful failure to disclose his criminal history on his Form U4s, in violation of Conduct Rule 2110 and IM-1000-1.

 

This decision has been appealed.

View Decision (PDF 67 KB)