RANDY J SCHNEIDER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/29/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Randy J. Schneider (CRD No. 2499925), Respondent. Disciplinary Proceeding No.20110296760 COMPLAINT The Department of Market Regulation alleges: Summary 1. From August 2010 through at least September 2011, Randy J. Schneider ("Schneider"), while registered at a FINRA member firm, made improper use of, and converted, at least $282,000 in funds and bearer bonds from two elderly customers of his
12/11/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. RANDY J. SCHNEIDER (CRD No. 2499925), Respondent. Disciplinary Proceeding No. 20110296760 Hearing Officer-AWL DEFAULT DECISION December 11, 2012 Respondent is barred from associating with any FINRA member firm in any capacity for (1) misappropriation of customer funds, in violation of FINRA Rules 2150(a) and 2010; and (2) failing to appear and provide testimony and produce documents, in
Reference 2011029676001data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2499925

Other names1

Also known as1

RANDY J. SCHNEIDER

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.