GLENN ANDREW SCHWARZKOPF

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GLENN ANDREW SCHWARZKOPF (CRD No. 2538703), Respondent. DISCIPLINARY PROCEEDING No. 2011027214701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between March 17, 2010 and June 30, 2010, while registered with FINRA as a General Securities Representative ("GSR") through an association with member firm Citigroup Global Markets Inc. (BD No. 7059) ("GCMI"), Respondent Glenn Andrew
08/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GLENN ANDREW SCHWARZKOPF (CRD No. 2538703), Respondent. Disciplinary Proceeding No. 2011027214701 Hearing Officer - RLP DEFAULT DECISION August 20, 2012 For conversion of customer funds, in violation of Rules 2150 and 2010, and for failure to provide requested information, in violation of Rules 8210 and 2010, Respondent is barred from associating with any FINRA member firm in any capacity and is
Reference 2011027214701data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2538703

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.