ANDREW S. KOROTZER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/15/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT E022004028801 TO: Department of Enforcement NASD RE: Andrew S. Korotzer, Respondent Investment Company/Variable Products Representative CRD No. 4259307 Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") tor the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions
Reference E022004028801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4259307

Other names1

Also known as1

ANDREW SEAN KOROTZER

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