Paul Ronald Koch
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/16/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062621801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul Ronald Koch (Respondent) Former General Securities Representative CRD No. 1777599 Pursuant to FINRA Rule 9216, Respondent Paul Ronald Koch submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019062621801finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1777599 |
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