Joseph Morris Thurnherr
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/25/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061944201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph Morris Thurnherr, Respondent Former General Securities Representative CRD No. 5045624 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Joseph Morris Thurnherr submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on
Reference 2019061944201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5045624 |
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