MELISSA ANN NIEDERHAUSER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/10/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064265601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Melissa A. Niederhauser, Respondent Former Associated Person CRD No. 6380536 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Melissa Niederhauser submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019064265601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6380536

Other names1

Also known as1

Melissa A. Niederhauser

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