STEVEN K. SCHROEDER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/14/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEVEN K. SCHROEDER (CRD No. 4177966), Respondent. Disciplinary Proceeding No. C8A040092 Hearing Officer-Andrew H. Perkins DEFAULT DECISION February 14, 2005 Respondent is barred from associating with any NASD member firm in any capacity for (1) forging customers' and others' signatures, in violation of NASD Conduct Rule 2110, and (2) failing to respond to
Reference C8A040092data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4177966

Other names1

Also known as1

STEVEN KEITH SCHROEDER

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