Nex Systems
Type not stated

DENIS WILLIAM KRAEMER 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

    12/15/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DENIS WILLIAM KRAEMER, JR. (CRD No. 2795687), Respondent. Disciplinary Proceeding No. 2006006192901 HEARING PANEL DECISION Hearing Officer - SW Date: December 15, 2008 Respondent is suspended in all capacities from associating with any FINRA member for nine months and fined $5,000 for his willful failure to disclose his criminal history on his Form U4s, in violation of Conduct Rule 2110 and

    12/18/2009: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Denis William Kraemer, Jr. Charlotte, NC, Respondent. DECISION Complaint No. 2006006192901 Dated: December 18, 2009 Respondent willfully failed to disclose material information concerning his criminal history on Forms U4. Held, findings and sanctions affirmed. Appearances For the Complainant: David M.. Jaffe, Esq., Leo F. Orenstein., Esq., and Frank M. Weber, Esq.,

    Reference 2006006192901data-portal.finra.orgfinra.orgdata-portal.finra.org

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