CHRISTOPHER GUENTHER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/28/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009414201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Christopher Guenther ("Guenther"), Registered Representative CRD No. 3047778 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Guenther submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted
Reference 2007009414201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3047778

Other names1

Also known as1

CHRISTOPHER RONALD GUENTHER

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