Defendant Name:
Kenneth G. Friedrich
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Kenneth G. Friedrich
First Document Date
17-Sep-2021
Initial Filing Format
Administrative Action
File Number
3-20569
Allegation Type
Municipal Securities & Public Pensions
Affiliations
- Former: Broker/Registered Representative at RBC Capital Markets LLC (January 1999—June 2016)
Violations Alleged
•
Failure to supervise under Section 15(b)(4)(E) Exchange Act
Resolutions
Bars:
- Bar on association in a supervisory capacity with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 6 months
- "Friedrich shall not offer, purchase, or sell negotiated new issue municipal securities on behalf of (1) any broker, dealer, investment adviser, or municipal securities dealers, or (2) any customer or client of any broker, dealer, investment adviser, or municipal securities dealer" for 6 months
First Resolution Date
17-Sep-2021
