ROBERT E. KREIS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/28/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007010176601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert E. Kreis, Respondent Associated Person CRD No. 4654104 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert E. Kreis 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 2007010176601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4654104

Other names1

Also known as1

ROBERT ELWOOD KREIS

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