FINRA Disciplinary Actions Online

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Case ID	Case Summary	Document Type Sort ascending	Firms/ Individuals	Action Date
2017054317401	FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054317401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Douglas Edward Szempruch (Respondent) Former General Securities Representative CRD No. 4159318 Pursuant to FINRA Rule 9216, Respondent Douglas Edward Szempruch submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted	AWCs (Letters of Acceptance, Waiver, and Consent)	Douglas Edward Szempruch	07/09/2021