RICHARD FRANCIS KRESGE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/22/2007: NASD OFFICE OF HEARING OFFICERS Department of Market Regulation Complainant, v. Stephen Ira Golden (CRD No. 224150) Richard Francis Kresge (CRD No. 729077) Respondents. Disciplinary Proceeding No. 2005000323905 Hearing Officer: COMPLAINT Upon information and belief, Complainant, the Department of Market Regulation, alleges as follows: Summary 1. Respondents Steven Golden and Richard Kresge participated directly as principals in a fraudulent trading scheme involving directed, prearranged, circular,
Reference 2005000323905data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 729077 |
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