KENNETH M. CARPENTER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/05/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015174101 To: Department of Enforcement FINRA Re: Kenneth M. Carpenter Investment Company/Variable Contracts Products Representative CRD No. 2037223 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, I, Kenneth M Carpenter (Carpenter), submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the
Reference 2008015174101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2037223

Other names1

Also known as1

KENNETH MARK CARPENTER

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