GLEN JOSEPH RAUCH
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/28/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Glen Rauch, CRD No. 3102961 Respondent. Disciplinary Proceeding No. 2014039358002 Hearing Officer David Williams ORDER ACCEPTING OFFER OFSETTLEMENT Date: November 28, 2016 INTRODUCTION Disciplinary Proceeding No. 2014039358002 was filed on September 16,2 016, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Glen Rauch
09/16/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Glen Rauch (CRD No. 3102961) Respondent. DISCIPLINARY PROCEEDING No. 2014039358002 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In January 2016, while he was registered as a General Securities Representative (GSR) with Avenir Financial Group, Inc. (Avenir or the Firm), and continuing into February and March 2016 after the termination of his registration with the Firm
Reference 2014039358002data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3102961 |
Other names1
Also known as1
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.