KIMBERLY ANN HARPER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/30/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY1 OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KIMBERLY ANN HARPER (CRD No. 5191291), Respondent. Disciplinary Proceeding No. 20060060576-01 Hearing Officer - AWH Default Decision November 30, 2007 Formerly associated person failed to disclose criminal history on a Form U4, in violation of Conduct Rule 2110, and failed to respond to FINRA Staff requests for information, in violation of Procedural Rule 8210 and Conduct Rule 2110.
Reference 2006006057601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5191291 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.