FINRA Disciplinary Actions Online

Displaying 1 - 1 of 1
Case ID Case Summary Document Type Firms/ Individuals Action Datesort descending
Case ID 2018057927801 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057927801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Richard D. Niemann, Respondent CRD No. 348144 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Richard D. Niemann ("Niemann" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Richard D. Niemann
Action Date 03/11/2019