MICHAELENE KOCHER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/20/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006007069101 TO: Department of Enforcement NASD RE: Michaelene Kocher, Respondent Limited Representative - Investment Company and Variable Contracts Products CRD No. 4712826 Pursuant to Rule 9216 of the NASD Code of Procedure, Michaelene Kocher ("Kocher") submits 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
Reference 2006007069101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4712826 |
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