JUEFGEN WEBER

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/05/2008: FINRA LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094114 TO; Department of Enforcement FINRA RE: Juefgen Weber Registered Representative CRD No. 2617323 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Juergen Weber ("Weber") submits 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 submitted on the condition that
Reference 2007009411401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/05/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056035501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Juergen Weber, Respondent Registered Representative CRD No. 2617323 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.
Reference 2017056035501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2617323

Other names1

Also known as1

Juergen Weber

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.