JAN LYNN BRUEGGEMANN
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/23/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. JAN LYNN BRUEGGEMANN CRD No. 2714692 Respondent. Disciplinary Proceeding No. C02050053 Hearing Officer - Andrew Perkins ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 23, 2005 INTRODUCTION Disciplinary Proceeding No. C02050053 was filed on June 24, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Jan Lynn Brueggemann ("Respondent") submitted an Offer of Settlement ("Offer") to Complainant on August 19,
Reference C0220050053finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/22/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAN LYNN BRUEGGEMANN (CRD No. 2714692), Respondent. Disciplinary Proceeding No. 2007008976201 Hearing Officer-Andrew H. Perkins DEFAULT DECISION May 22, 2009 Respondent is barred from associating with any member firm in any capacity for engaging in private securities transactions, in violation of Conduct Rules 3040 and 2110
Reference 2007008976201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2714692 |
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