LAURA C SCHATZ

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/29/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007821601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Laura C. Schatz, Respondent Associated Person CRD No. 5147201 Pursuant to NASD 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
Reference 2007007821601finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5147201

Other names1

Also known as1

LAURA C. SCHATZ

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