Neil Walter Koch

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/28/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074162901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Neil Walter Koch (Respondent) Former General Securities Representative (GSR) CRD No. 4800437 Pursuant to FINRA Rule 9216, Respondent Neil Walter Koch submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2022074162901finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4800437

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