GEORGE JOSEPH BRISCHLER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/04/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009953001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: George Joseph Brischler, Respondent Limited Principal - Investment Company and Variable Contracts Products CRD No. 5297512 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 violations described
Reference 2007009953001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5297512 |
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