RICHARD W. MENTZ
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/13/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. RICHARD W. MENTZ (CRD No. 2150829), Respondent. Disciplinary Proceeding No.2005001087801 Hearing Officer-AWH DEFAULT DECISION September 13, 2007 Formerly registered representative barred from association with any member firm in any capacity for recommending and effecting unsuitable transactions in a customer's account, in violation of NASD Conduct Rules 2110 and 2310
04/11/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RICHARD W. MENTZ (CRD No. 2150829), Respondent. Disciplinary Proceeding No. 2005001087801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between August 2003 and July 2004, Richard W. Mentz, while registered with NASD member Emmett A. Larkin Company, Inc., executed 164 transactions in customer WJ's account, using margin. This account activity yielded a modified Looper annualized turnover rate of 47, and an annualized
Reference 2005001087801data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2150829 |
Other names1
Also known as1
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