ERIC KUCHEL
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/09/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Disciplinary Proceeding Complainant, V. ERIC KUCHEL (CRD No. 4118500), Respondent. Disciplinary Proceeding No. 2015047966701 Hearing Officer-DW ERIC DEFAULT DECISION Respondent is barred from associating with any FINRA member firm in any capacity fur failing to respond to requests fur on-the-record testimony, in violation of Rules 8210 and 2010. Appearances For the Complainant:
01/06/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Eric Kuchel (CRD No. 4118500) Respondent. DISCIPLINARY PROCEEDING No. 2015047966701 COMPLAINT The Department of Enforcement (the "Department") alleges: SUMMARY 1. Respondent Eric Kuchel ("Kuchel") failed to appear and provide investigative testimony on two occasions, in violation of FINR.A Rules 8210 and 2010. RESPONDENT AND JURISDICTION 2. Kuchel entered the securities industry in 2000.
Reference 2015047966701data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4118500 |
Other names1
Also known as1
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.