KENNETH C. HOLTSCLAW
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/25/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006831001 TO: Department of Enforcement NASD RE: Kenneth C. Holtsclaw, Respondent General Securities Principal and General Securities Representative [CRD No. 1220860] Pursuant to Rule 9216 of the NASD Code of Procedure, Respondent 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 that, if accepted, NASD
Reference 2006006831001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1220860 |
Other names1
Also known as1
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