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R.J. Steichen & Company, n/k/a Miller Johnson Steichen Kinnard, Inc.

R.J. Steichen & Company, n/k/a Miller Johnson Steichen Kinnard, Inc. (CRD #694, Minneapolis, Minnesota) received a fine and censure of $19,505. According to the regulators, the firm permitted individuals to conduct a securities business and to act in registered capacities when their registrations had lapsed for non-compliance with the Regulatory Element of the Continuing Education Requirement. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C04010027)

Did R.J. Steichen & Company, n/k/a Miller Johnson Steichen Kinnard, Inc. manage your investments?

 

 

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