RICHARD MARK SCHMERMAN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/15/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Deportment of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Richard Mark Schmerman, Respondent CRD No. 1302988 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 alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not
Reference 2010022046001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1302988 |
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