KARL E. ROESLER JR.

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/25/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KARL E. ROESLER, JR. (CRD No. 2455080), Respondent. Disciplinary Proceeding No. 20050026124-01 Hearing Officer - AWH DEFAULT DECISION May 25, 2007 Formerly registered representative barred for knowingly submitting forged documents and concealing the forgeries, in violation of NASD Conduct Rule 2110. Appearances: James M. Stephens, Esq., for the Department of Enforcement. No appearance by or for Karl E. Roesler, Jr. DECISION
Reference 2005002612401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2455080

Other names1

Also known as1

KARL EDMUND ROESLER, JR

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