MICHAEL STEVEN THANNERT
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/17/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael Steven Thannert, Investment Company/Variable Contract Products Representative (CRD No. 4452543) Respondent. Disciplinary Proceeding No. 20050033391-01 Hearing Officer - AHP October 17,2006 ORDER ACCEPTING OFFER OF SETTLEMENT I. INTRODUCTION Disciplinary Proceeding No. 20050033391-01 was filed on August 28, 2006 by the Department of Enforcement
08/28/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael Steven Thannert, Investment Company/Variable Contract Products Representative (CRD No. 4452543) Respondent Disciplinary Proceeding No. 20050033391-01 Hearing Officer - COMPLAINT Upon information and belief, Complainant alleges as follows: JURISDICTION 1. From September 7, 2001 through November 18, 2005, Respondent Michael Steven Thannert was
Reference 2005003339101data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4452543 |
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