HANS N. BEERBAUM

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/19/2006: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Beerbaum & Beerbaum Financial and Insurance Services, Inc. Petaluma, CA, and Hans N. Beerbaum Petaluma, CA, Respondents. DECISION Complaint No. C01040019 Dated: May 19, 2006 Hans Beerbaum acted as a general securities principal without the proper registration while employed by Beerbaum & Beerbaum Financial and Insurance Services, Inc. Held, Hearing Panel's findings and sanctions affirmed. APPEARANCES
05/09/2007: ADMINISTRATIVE PROCEEDING FILE NO. 3-12316 UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION June 8, 2006 In the Matter of the Application of HANS N. BEERBAUM and BEERBAUM & BEERBAUM FINANCIAL AND INSURANCE SERVICES, INC. 5881 Roblar Rd. Petaluma, California 94952 For Review of Disciplinary Action Taken by NASD C01050019 ORDER DENYING STAY Hans M. Beerbaum, who during the relevant period was a general securities representative with Beerbaum & Beerbaum Financial and Insurance Services,
Reference C01040019data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	717043

Other names1

Also known as1

HANS NORMAN BEERBAUM

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