KENLEY BRISARD
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/12/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Ridgeway & Conger, Inc. (CRD No. 113055), Kenley Brisard (CRD No. 2641960), Philip Brisard (CRD No. 2646923) and Leigh Garber (CRD No. 2768572), Respondents. DISCIPLINARY PROCEEDING No. 2010022046101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From June through August 2010 (the Relevant Period), Respondents sold an unregistered security that consisted of interest-only
10/27/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kenley Brisard (CRD No. 2641960) Respondent. DISCIPLINARY PROCEEDING No. 2010022046101 Hearing Officer: MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 27, 2016 INTRODUCTION Disciplinary Proceeding No. 2010022046101 was filed on January 12, 2016, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Kenley Brisard submitted an Offer
Reference 2010022046101data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2641960 |
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