KARL HERRMANN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/17/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Karl Herrmann (CRD No. 2706681), Respondent. Disciplinary Proceeding No. 2011029017001 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 17, 2014 INTRODUCTION Disciplinary Proceeding No. 2011029017001 was filed on January 7, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Karl Herrmann submitted an Offer of
01/07/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Karl Herrmann (CRD No. 2706681), Respondent. DISCIPLINARY PROCEEDING No. 2011029017001 Hearing Officer -- COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period February 2010 through June 2011, while registered with FINRA member Fidelity Investments Institutional Services Company, Inc. ("Fidelity"), Respondent Karl Herrmann made numerous personal purchases with Fidelity's
Reference 2011029017001data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2706681 |
Other names1
Also known as1
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