KENNETH STUART NIERENBERG

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Effective
20 Mar 2012
US Federal Reserve Enforcement Actions
Federal Reserve BoardUS Federal Reserve Enforcement ActionsUnited States
Section 19 Letters
Programme US-FED-ENFfederalreserve.gov federalreserve.gov
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/26/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. KENNETH STUART NIERENBERG (CRD No. 1596132), RESPONDENT. DISCIPLINARY PROCEEDING No. 2006006630101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Kenneth S. Nierenberg converted a total of $92,469.22 from two elderly customers of his employer firm. He also willfully failed to amend his Uniform Application for
12/11/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT COMPLAINANT V. KENNETH STUART NIERENBERG CRD No. 1596132 DISCIPLINARY PROCEEDING NO.2006006630101 HEARING OFFICER-LBB ORDER ACCEPTING OFFER OF SETTLEMENT DATE: December 11, 2008 INTRODUCTION Disciplinary Proceeding No. 2006006630101 was filed on August 26, 2008, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
Reference 2006006630101data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1596132

Supporting documents1

Untitled document
https://www.federalreserve.gov/boarddocs/legaldevelopments/ordersother/section19/2012/201203202.pdf

Other names1

Also known as1

Kenneth Nierenberg

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