DAVID J. KLECKA JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/13/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID J. KLECKA, JR., CRD No. 5036893, Respondent. Disciplinary Proceeding No. 2010021189601 Hearing Officer: SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 13, 2011 INTRODUCTION Disciplinary Proceeding No. 2010021189601 was filed on June 6,2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
Reference 2010021189601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5036893 |
Other names1
Also known as1
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