GARRETT RICHARD FISCHER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/17/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GARRETT RICHARD FISCHER (CRD No. 5083708), Respondent. Disciplinary Proceeding No. 20060043797-01 Hearing Officer - AWH Default Decision April 17, 2007 Formerly associated person failed to disclose criminal history on a Form U-4, in violation of Conduct Rule 2110, and failed to respond to NASD Staff requests for information, in violation of Procedural Rule 8210 and Conduct Rule 2110. Respondent barred from association with any
Reference 2006004379701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5083708 |
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