WALTER J BECKER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/31/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. WALTER J. BECKER (CRD No. 16443), RESPONDENT. DISCIPLINARY PROCEEDING NO. 20050025094 HEARING OFFICER- COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From at least March 15,2001, through at least January 17,2003, Walter J. Becker solicited monies and issued promissory notes to customers of his NASD member firm, Walt Becker & Associates, Inc., for the ostensible purpose of
02/25/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. WALTER J. BECKER (CRD No. 16443), RESPONDENT. DISCIPLINARY PROCEEDING NO.20050025094-01 HEARING OFFICER-LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 21, 2008 INTRODUCTION Disciplinary Proceeding Number 20050025094 was filed on July 31, 2007, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Walter J. Becker submitted
Reference 2005002509401data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 16443 |
Other names1
Also known as1
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.