KOENIG NATHAN
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/22/2016: FINANCIAL INDUSTRY REGUIATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046234801 TO: Department ofEnforcement Financial Industry Regulatory Authority (*'FINRA") RE: Nathan Koenig, Respondent Former Registered Representative CRD No. 5192141 Pursuant to FINRA Rule 9216 ofFINRA's Code ofProcedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose ofproposing a settlement ofthe alleged rule violations described below. This AWC is submitted on the condit
Reference 2015046234801data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/22/2016: FINANCIAL INDUSTRY REGUIATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046234801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Nathan Koenig, Respondent Former Registered Representative CRD No. 5192141 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit 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
Reference 2015046234801data-portal.finra.orgfinra.org
Other names1
Also known as1
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