KAITLYN S POTTER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/11/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080652501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kaitlyn Potter (Respondent) Former Associated Person CRD No. 7398611 Pursuant to FINRA Rule 9216, Respondent Kaitlyn Potter submits 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, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2023080652501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	7398611

Other names1

Also known as1

Kaitlyn Potter

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