Nex Systems
Type not stated

ARTHUR H. GUTERDING JR.

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

    08/05/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. ARTHUR H. GUTERDING. JR. (CRD No. 1053453), Respondent. Disciplinary Proceeding NO. C02050045 Hearing Officer - AWH DEFAULT DECISION October 5, 2005 Formerly registered representative fined $5,000 and suspended from association with any member in any capacity for one year for exercising discretion over customer accounts without obtaining written acceptance of the accounts as discretionary by his firm, in violation of NASD Conduct

    06/03/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. ARTHUR H. GUTERDING, JR. (CRD No. 1053453), Respondent. Disciplinary Proceeding No. C02050045 Hearing Officer - COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Arthur H. Guterding, Jr. ("Respondent") was associated with A.G. Edwards & Sons, Inc. ("AGE" or "firm") from on or January 22, 2001 through September 18, 2003 as a General Securities Representative. NASD has jurisdiction to file this Complaint

    Reference C02050045data-portal.finra.orgdata-portal.finra.orgfinra.org

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