LEE G. SCHROEDER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/02/2006: NASD LETTER OP ACCEPTANCE, WAIVER AND CONSENT 20050026087-01 To: Department of Enforcement NASD Re: Lee G. Schroeder General Securities Representative (CRD No. 3270789) Pursuant to Rule 9216 ofNASD Code of Procedure, I, Lee G. Schroeder (Schroeder), submit this Letter of Acceptance, Waiver and Consent (AWC) for 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 2005002608701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3270789

Other names1

Also known as1

LEE GERALD SCHROEDER

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.