BENJAMIN LEE SPANIER-YEARSICH
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/27/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013039642701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Benjamin Spanier-Yearsich, Respondent General Securities Representative CRD No. 5171781 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Benjamin Spanier-Yearsich, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2013039642701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5171781 |
Other names1
Also known as1
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