GREGORY ARTHUR NIEBLER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gregory Arthur Niebler, CRD No. 716226, Respondent. Disciplinary Proceeding No. 20070094052 Hearing Officer Lawrence B. Bernard ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 20, 2010 INTRODUCTION Disciplinary Proceeding No. 20070094052 was filed on December 23, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Gregory A.
12/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. GREGORY ARTHUR NIEBLER (CRD No. 716226), RESPONDENT. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between April 2000 and September 2004, Gregory Arthur Niebler ("Niebler") received money totaling approximately $370,000 from an elderly customer, DL, in the form of cash and personal checks written directly and personally to him or his credit card companies to pay down his credit card
Reference 2007009405201data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 716226 |
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