ROBERT E MESSINGER
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/15/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C8A050053 TO: Department of Enforcement NASD RE: Robert E. Messinger, Respondent Registered Representative (CRD No. 1234161) Pursuant to Rule 9216 of NASD Code of Procedure, I, Robert E. Messinger, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition
Reference C8A050053finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080137721-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert E. Messinger, Respondent Registered Representative CRD No. 1234161 Pursuant to Rule 9216 of FINRA Code of Procedure, I, Robert E. Messinger, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2008013772101data-portal.finra.orgfinra.org
Other names1
Also known as1
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