JOSEPH E. ZEGLOWITSCH III
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/28/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOSEPH E. ZEGLOWITSCH III (CRD No. 4921581), Respondent Disciplinary Proceeding No. 2005001533901 DEFAULT DECISION Hearing Officer - SW Dated: April 28, 2006 Respondent was barred for violating NASD Procedural Rule 8210 and NASD Conduct Rule 2110 by failing to respond to requests for information issued by the NASD staff. In light of the bar, the Hearing Officer
Reference 2005001533901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4921581 |
Other names1
Also known as1
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