BRYAN L. CROGER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/14/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRYAN L. CROGER (CRD No. 2829939), Respondent. Disciplinary Proceeding No.2006006397601 DEFAULT DECISION Hearing Officer -SW Dated: February 14, 2008 Respondent is barred from associating with any FINRA member firm in any capacity for: (1) misusing funds from the bank accounts of five of his elderly customers, in violation of NASD Conduct Rule 2110; (2) executing an unauthorized transaction in the
08/20/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. BRYAN L. CROGER Registered Representative (CRD No. 2829939) Respondent Disciplinary Proceeding No. 2006006397601 Hearing Officer COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From November 2005 to August 2006, Bryan L. Croger (Croger) withdrew a total of $18,398.29 from bank accounts owned by five elderly members of the public, without the customers' knowledge and consent,
Reference 2006006397601data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2829939 |
Other names1
Also known as1
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