GLENN JAMES MEYER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/10/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GLENN JAMES MEYER (CRD No. 2674576), Respondent. Disciplinary Proceeding No. 2007009571601 Hearing Officer - LBB DEFAULT DECISION November 10, 2008 Respondent is barred from associating with any member firm in any capacity for failing to respond to requests for information in violation of NASD Conduct Rule 2110 and NASD Procedural Rule 8210. In light of the bar, no additional sanctions are imposed
Reference 2007009571601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2674576 |
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.