CHAD DAVID KELLY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/19/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100239467 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Chad David Kelly General Securities Representative CRD No. 2712230 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Chad David Kelly ("Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2010023946701finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2712230 |
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