SCOTT D. SCHROEDER

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Milkie Ferguson Investments, Inc. (CRD No. 17606), Edward Milkie (CRD No. 871257), Manny Aizen (CRD No. 1676247), Daniel Levin (CRD No. 707280), and Scott Schroeder (CRD No. 2277248), Respondents. Disciplinary Proceeding No. 2009016271801 Hearing Officer - MC ORDER ACCEPTING OFFER OF SETTLEMENT AS TO RESPONDENT SCHROEDER
Reference 2009016271801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/09/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029445601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Scott D. Schroeder, Respondent Former General Securities Representative CRD No. 2277248 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scott D. Schroeder ("Schroeder" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2011029445601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2277248

Other names2

Also known as2

SCOTT SCHROEDERSCOTT DONOVAN SCHROEDER

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