CHAD E ACKZEN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/09/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. CHAD E. ACKZEN (CRD No. 5264694), Respondent. Disciplinary Proceeding No. 2007007725201 Hearing Officer - DMF DEFAULT DECISION November 9, 2007 Respondent is barred from association with any member firm in any capacity for failing to respond to FINRA staff requests for information, in violation of NASD Rules 8210 and 2110.
Reference 2007007725201finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5264694

Other names1

Also known as1

CHAD E. ACKZEN

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