HOWARD RAYMOND UTZ

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/07/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20180587198-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Howard R. Utz, Respondent CRD No. 2672208 Pursuant to FINRA 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
Reference 2018058719801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2672208

Other names1

Also known as1

Howard R. Utz

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