ARTHUR KEVIN GOTZMER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/31/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070093578 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Arthur Kevin Gotzmer, Respondent Former Registered Representative CRD No. 4277144 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the all
Reference 2007009357801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4277144

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