MARK PETER KOESTNER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042031901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Mark Peter Koestner, Respondent General Securities Representative CRD No. 1302960 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Respondent Mark Peter Koestner, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
04/18/2016: FINANCIAL 1NDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAKVER AND CONSENT NO. 2014042031901 TO: Department of EnfDrcement Financial Industry Regulatory Authority (''FINRA") RE: Mark Peter Koestner, Respondent General Securities Representative CRD No. 1302960 Pursuant to FINRA Rule 9216 ofFINRA's Codc of Procedure, 1. Respondent Mark Peter Kocstner, submit this Letter ofAcceptance, Waiver and Consent (?AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2014042031901data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1302960

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