DAVID E. NIEDERKROME

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/27/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016295901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: NWT Financial Group, LLC, Respondent CRD No. 140145 Stephen R. Rodgers, Respondent CRD No. 1870455 David E. Niederkrome, Respondent CRD No. 2220569 Pursuant to Rule 9216 of FINRA Code of Procedure, Respondents, NWT Financial Group, LLC (NWT), Stephen R. Rodgers
Reference 2009016295901data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/24/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008016403302 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David E. Niederkrome, Respondent CRD No. 2220569 Stephen R. Rodgers, Respondent CRD No. 1870455 Pursuant to Rule 9216 of FINRA's Code of Procedure, David E. Niederkrome ("Niederkrome") and Stephen R. Rodgers ("Rodgers") (collectively, "Respondents") submit this Letter of
Reference 2008016403302data-portal.finra.org finra.org

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