TERESA JO DORENKAMP
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/01/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Teresa Jo Dorenkamp (CRD 4822410), Respondent. Disciplinary Proceeding No. 20110290024 Hearing Officer - MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 1, 2012 INTRODUCTION Disciplinary Proceeding No. 20110290024 was filed on April 16, 2012 by the Department of Market Regulation of the Financial Industry Regulatory Authority ("FINRA" or "Complainant"). Respondent Teresa Jo Dorenkamp
04/16/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Teresa Jo Dorenkamp (CRD No. 4822410), Respondent. Disciplinary Proceeding No. 20110290024 COMPLAINT The Department of Market Regulation alleges: Summary 1. Between May 2007 and August 2011, Respondent Teresa Jo Dorenkamp ("Dorenkamp" or "Respondent") misused and converted more than $390,000 of customer funds, in violation of NASD Rules 2330 and 2110 and FINRA Rules 2150 and 2010. To
Reference 2011029002401data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4822410 |
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