KIRK J. WESTERMANN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/14/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO, 2009016659701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kirk J. Westermann, Respondent Investment Company and Variable Contracts Products Representative [CRD No. 4536840] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Kirk J. Westermann, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2009016659701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4536840

Other names1

Also known as1

KIRK JOHN WESTERMANN

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