John E. Fendrich Jr.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/01/2025: Between September 2020 and November 2021, Fendrich recommended to a retail customer a series of trades that were excessive and not in the customer’s best interest. As a result, Fendrich willfully violated the Best Interest Obligation under Rule 15l-1(a)(1) of the Securities Exchange Act of 1934 (Regulation BI or Reg BI) and violated FINRA Rule 2010. For this violation, Fendrich is suspended for three months in all capacities, fined $5,000, and ordered to pay restitution of $14,214 plus interest.
Reference 2018056490328data-portal.finra.orgfinra.org
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