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JEROD A. WURM

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

    06/13/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, JEROD A. WURM (CRD No. 2861953), Respondent. Disciplinary Proceeding No. 20080153649-01 Hearing Officer - MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 13, 2012 INTRODUCTION Disciplinary Proceeding No. 20080153649-01 was filed on July 12, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)(Complainant). Respondent Wurm submitted an Offer of Settlement

    07/12/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT O F ENFORCEMENT, Complainant, v. JEROD A. WURM (CRD No. 2861953), Respondent. DISCIPLINARY PROCEEDING No. 2008015364901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Jerod A. Wurm recommended to a recently widowed middle-aged woman that she take out a $315,000.00 mortgage on the home she owned free and clear and invest $300,000 of the proceeds to purchase a variable annuity. Based on the customer's

    Reference 2008015364901data-portal.finra.orgfinra.orgdata-portal.finra.org

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