BRIAN M. WURDEMANN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/18/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brian M. Wurdemann (CRD No. 4206425), Respondent. DISCIPLINARY PROCEEDING No. 2007009461301 HEARING OFFICER: COMPLAINT SUMMARY 1. From 2002 through 2004, Respondent Brian M. Wurdemann ("Wurdemann"), a former general securities representative ("GSR") of Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD No. 4206425) (the "Firm" or "Merrill Lynch"), recommended and effected numerous unsuitable
Reference 2007009461301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4206425 |
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