ALEX L. WITTENBURG

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/31/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E052004029501 Department of Enforcement NASD Alex L. Wittenburg, Respondent Investment Company and Variable Contracts Products Representative and General Securities Representative [CRD No. 4278127] and Rodney G. Graves, Respondent Investment Company and Variable Contracts Products Principal, Investment Company and Variable Contracts Products Representative, General Securities Principal
Reference E052004029501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/24/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029664001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alex Wittenburg, Respondent General Securities Representative CRD No. 4278127 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit 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
Reference 2011029664001finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4278127

Other names2

Also known as2

ALEX LANCE WITTENBURGALEX WITTENBURG

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