ANDREW J. FRANZ

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/24/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010025073601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Andrew J. Franz, Respondent Investment Company and Variable Products Representative CRD No. 3122848 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 described below. This AWC is
Reference 2010025073601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3122848

Other names1

Also known as1

ANDREW JOSEPH FRANZ

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