Daniel Lee Ritz Jr.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/01/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090165813-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Institutional Capital Management, Inc., Respondent Broker-Dealer CRD No. 41055 Daniel Lee Ritz Jr., Respondent CRD No. 1977521 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Institutional Capital Management, Inc. ("ICMH" or the "Firm") and Daniel Lee Ritz Jr. ("Ritz") (collectively, "Respondents") submit this
Reference 2009016581301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/11/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030725801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Daniel Lee Ritz, Jr., Respondent Financial and Operations Principal, General Securities Principal, General Securities Representative, Investment Banking Representative, Municipal Securities Principal, Municipal Securities Representative, and Registered Options Principal
Reference 2012030725801data-portal.finra.org finra.org

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