TODD GRAFENAUER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/17/2005: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Todd Grafenauer Mukwonago, WI, Respondent. DECISION Complaint No. C8A030068 Dated: May 17, 2005 Respondent forged documents used to obtain member firm's approval of intern hiring. Held, Hearing Panel's findings and sanctions are affirmed. Appearances For the Complainant: Pamela Shu, Esq., Leo F. Orenstein, Esq., Department of Enforcement, NASD For the Respondent:
Reference C8A030068data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4408817 |
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.