Mitchell Scott Biernick
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/18/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060645002 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mitchell Scott Biernick (Respondent) Former General Securities Representative, General Securities Principal, and Registered Options Principal CRD No. 2690172 Pursuant to FINRA Rule 9216, Respondent Mitchell Scott Biernick 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 2019060645002finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2690172 |
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