KEVIN R. GRAETZ

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/15/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kevin Richard Graetz (CRD No. 1935982), Respondent. DISCIPLINARY PROCEEDING No. 2014038847602 Hearing Officer-LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 15, 2017 INTRODUCTION Disciplinary Proceeding No. 2014038847602 was filed on September 15, 2016, by the Department of Enforcement of the Financial
Reference 2014038847602data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/15/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kevin Richard Graetz (CRD No. 1935982), DISCIPLINARY PROCEEDING No. 2014038847602 Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From February 2007 through November 2013, while registered with FINRA member firms, Kevin Richard Graetz was subject to, at various times, thirteen federal and state tax liens, totaling over $1 million. Graetz failed to timely update
Reference 2014038847602finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1935982

Other names1

Also known as1

Kevin Richard Graetz

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