MELISSA A LICHT
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/16/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MELISSA A. LICHT CRD No. 4470617, Respondent. Disciplinary Proceeding No. 2005002708301 Hearing Officer - COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Melissa A. Licht ("Licht") was associated with member firm Northwestern Mutual Investment Services, LLC ("NMIS") from March 2002 to January 2005 in an unregistered capacity. On or about January 14, 2005,
09/06/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MELISSA A. LICHT CRD No. 4470617 Respondent. Disciplinary Proceeding No.2005002708301 Hearing Officer - AWH ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2005002708301 was filed on June 16, 2006, by the Department of Enforcement of NASD ("Complainant"). Respondent Melissa A Licht ("Respondent") submitted an Offer of Settlement
Reference 2005002708301data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4470617 |
Other names1
Also known as1
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