STEVEN W. SAUER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/11/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080141560-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Steven W. Sauer, Respondent Limited Representative - Investment Company and Variable Contracts Products General Securities Representative CRD No. 2450263 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC")
Reference 2008014156001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2450263

Other names1

Also known as1

STEVEN WILLIAM SAUER

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