GERALDINE ANN WERT
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/21/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. GERALDINE ANN WERT (CRD NO. 1739218), RESPONDENT. Disciplinary Proceeding No. 2008015086401 Hearing Officer - LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 21, 2010 INTRODUCTION Disciplinary Proceeding No. 2008015086401 was filed on August 30, 2010, by the Department of Enforcement of the Financial Industry
08/30/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. GERALDINE ANN WERT (CRD NO. 1739218), RESPONDENT. DISCIPLINARY PROCEEDING No. 2008015086401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From on or about January 2005 through September 2008 Geraldine Wert ("Wert"), a former independent contractor of Financial Network Investment Corp. ("FNIC" or the "Firm")
Reference 2008015086401data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1739218 |
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