Samuel C Lohner

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/09/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069256901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Samuel C. Lohner (Respondent) Former General Securities Representative CRD No. 7064052 Pursuant to FINRA Rule 9216, Respondent Samuel C. Lohner submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2021069256901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	7064052

Other names1

Also known as1

Samuel C. Lohner

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