THOMAS WAYNE O'KEEFE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/09/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2009017258701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Thomas Wayne O'Keefe Registered Representative CRD No. 4715811 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Thomas Wayne O'Keefe, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the
Reference 2009017258701finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4715811 |
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