EDWARD JOSEPH VIERLING, SR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2015046393901 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA'') RE: Edward J. Vierling, Sr., Respondent Former General Securities Representative CRD No. 501279 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Edward J. Vierling, Sr. ("Vierling" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of
Reference 2015046393901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 501279 |
Other names1
Also known as1
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.