KATHRYN V. WILCHER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/22/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E072004067501 TO: Department of Enforcement NASD RE: Kathryn V. Wilcher CRD No. 4783371 Pursuant to Rule 9216 of NASD Code of Procedure, I, Valerie M. Ficke submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging violations based on the
Reference E072004067501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4783371

Other names1

Also known as1

KATHRYN VENESS WILCHER

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