PAUL ANDREW NIESS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/13/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PAUL ANDREW NIESS (CRD No. 2157145), Respondent. Disciplinary Proceeding No. 20050033320 Hearing Officer - AWH DEFAULT DECISION May 13, 2008 Respondent is barred from associating with any FINRA member in any capacity for participating in private securities transactions, in violation of NASD Rules 3040 and 2110, and borrowing from customers, in violation of NASD Rules 2370 and 2110. Appearances
Reference 2005003332001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2157145 |
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