STEPHEN NIETSCH
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/18/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEPHEN NIETSCH (CRD No. 3111082), Disciplinary Proceeding No. 2009020385001 Hearing Officer-Sara Nelson Bloom DEFAULT DECISION June 18, 2012 Respondent is barred from associating with any FINRA registered firm in any capacity for borrowing money from his customer, in violation of NASD Conduct Rules 2370 and 2110.
Reference 2009020385001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3111082 |
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