LANCE J. ZIESEMER

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/13/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2013036524903 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lance J. Ziesemer, Respondent General Securities Representative and General Securities Sales Supervisor CRD No. 2342087 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver, and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2013036524903data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LEJTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070089649 To: Department of Enforcement FINRA Re: Lance J. Ziesemer General Securities Representative and Sales Supervisor (CRD No. 2342087) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Lance J. Ziesemer, submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement
Reference 2007008964901finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2342087

Other names1

Also known as1

LANCE JEFFREY ZIESEMER

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