FREDERICK JURI KOTOWITZ

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/04/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FREDERICK JURI KOTOWITZ (CRD No. 4170441), Respondent. Disciplinary Proceeding No. 2013037815302 Hearing Officer-MJD DEFAULT DECISION September 4, 2015 Respondent is barred from associating with any FINRA member firm in any capacity for failing to attend an on-the record interview and for providing untimely responses to FINRA's written requests for information, in violation of FINRA Rules 8210
Reference 2013037815302data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/06/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Frederick Juri Kotowitz (CRD No. 4170441), Respondent. DISCIPLINARY PROCEEDING No. 2013037815302 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On two separate occasions between July and August 2012 while associated with a FINRA-regulated entity, Respondent Frederick Juri Kotowitz willfully failed to timely amend his Uniform Application for Securities Industry
Reference 2013037815302data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4170441

Other names1

Also known as1

FREDERICK JURI KOTOWIZ

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