RONALD HARLAND BERG

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/31/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077022401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald H. Berg (Respondent) General Securities Representative CRD No. 19008 Pursuant to FINRA Rule 9216, Respondent Ronald H. Berg submits 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 that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2023077022401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	19008

Other names1

Also known as1

Ronald H. Berg

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