KENNETH JAMES NEMETZ

11/30/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. KENNETH JAMES NEMETZ (CRD No. 1299654), Respondent. Disciplinary Proceeding No. E0620030534-02 Hearing Officer - AWH November 30, 2005 Formerly registered representative misused customer funds, in violation of NASD Conduct Rules 2330 and 2110. Respondent is barred from associating with any member firm in any capacity for the violation. Appearances: Karen E. Whitaker, Esq., for the Department of Enforcement. No appearance by

07/08/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kenneth James Nemetz CRD No. 1299654 Respondent. Disciplinary Proceeding No. E0620030534-02 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Kenneth James Nemetz ("Nemetz") entered the securities industry in July 1984, when he became associated with an NASD member firm. He subsequently obtained Series 6, 26 and 63 securities licenses. In August 1993, Nemetz

Reference E062003053402data-portal.finra.orgdata-portal.finra.orgfinra.org