NICHOLAS A. BAUMGARTNER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/05/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080119927-01 To: Department of Enforcement Financial Industry Regulatory Authority Re: Nicholas A. Baumgartner Investment Company and Variable Contracts Products Representative CRD No. 5025273 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, I, Nicholas A. Baumgartner (Baumgartner),
Reference 2008011992701finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5025273 |
Other names1
Also known as1
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