KELLY R MOOSE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/05/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050239301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kelly R. Moose, Respondent CRD No. 5752441 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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 condition that, if accepted,
Reference 2016050239301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5752441

Other names1

Also known as1

KELLY R. MOOSE

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