RUSSELL J. BJERKE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/02/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RUSSELL J. BJERKE (CRD No. 3178233), Respondent. Disciplinary Proceeding No. C3B050015 Hearing Officer - DRP DEFAULT DECISION March 2, 2006 Respondent is barred from associating with any NASD member firm in any capacity for converting customer funds, in violation of NASD Conduct Rules 2330(a) and 2110, and for failing to respond to requests for information,
06/23/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Russell J. Bjerke, CRD No. 3178233 Respondent. Disciplinary Proceeding No. C3B050015 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Russell J. Bjerke ("Bjerke") was initially associated with a member of NASD in January 1999. He became registered as a General Securities Representative in March 1999. From
Reference C3B050015data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3178233 |
Other names1
Also known as1
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