Nex Systems
Type not stated

JOHN CHARLES KAUTTER II

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/04/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John Charles Kautter, a.k.a. John Charles Kautter II, CRD No. 4572852, Respondent. Disciplinary Proceeding No. 2012032922102 Hearing Officer: RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 4, 2015 INTRODUCTION Disciplinary Proceeding No. 2012032922102 was filed on July 20, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).

    07/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. John Charles Kautter, a.k.a. John Charles Kautter II, CRD No. 4572852, Respondent. DISCIPLINARY PROCEEDING No. 2012032922102 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. MRB was an elderly securities customer at Firm A, whose account was serviced by registered representative George Hoffman ("Hoffman"). In April 2011, Respondent, a registered representative associated with

    Reference 2012032922102data-portal.finra.orgdata-portal.finra.orgfinra.org

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