THOMAS J KUBA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/13/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007010994101 TO: Financial Industry Regulatory Authority ("FINRA") RE: Thomas J. Kuba, Respondent General Securities Representative [CRD No. 4605913] Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Thomas J. Kuba 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
Reference 2007010994101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4605913

Other names1

Also known as1

THOMAS J. KUBA

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