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JOHN HENRY MERBLER

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

    01/05/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C06050001 TO: Department of Enforcement NASD RE: Milkie/Ferguson Investments, Inc. CRD No. 17606 John Henry Merbler Financial and Operations Principal CRD No. 1464165 Pursuant to Rule 9216 of NASD Code of Procedure, Milkie/Ferguson Investments, Inc. and John Henry Merbler ("MFI" and "Merbler," respectively, or "Respondents" collectively) submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the allege

    Reference C06050001data-portal.finra.orgfinra.org

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