THERESA J. MENZ
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/08/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005003138901 TO: Department of Enforcement NASD RE: Theresa J. Menz, Respondent Limited Representative - Investment Company and Variable Contracts Products CRD No. 4636567 Pursuant to Rule 9216 of NASD Code of Procedure, Theresa J. Menz ("Menz") submits this Letter of Acceptance, Waiver and Consent ("AWC'*) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that,
Reference 2005003138901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4636567 |
Other names1
Also known as1
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