JAMES D. REISINGER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/18/2005: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Scott E. Wiard Ypsilanti, MI, and James D. Reisinger Dexter, MI, Respondents. DECISION Complaint No. C8A030078 Dated: October 18, 2005 Respondents made unauthorized investments of customer funds and recommended unsuitable securities transactions to their customers. Respondent Wiard also maintained discretionary accounts
Reference C8A030078data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1275258 |
Other names1
Also known as1
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