Nathan Gersteen Katz
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/25/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057352601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nathan Gersteen Katz (Respondent) Former General Securities Representative CRD No. 846475 Pursuant to FINRA Rule 9216, Respondent Nathan Gersteen Katz 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
Reference 2018057352601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 846475 |
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