KORY PENLAND KEATH
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/20/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kory Penland Keath (CRD No. 1242675), Respondent. DISCIPLINARY PROCEEDING No. 2015044489701COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In July 2009, H.D., a 90-year-old client of Respondent Kory Penland Keath, amended his trust (the "HD Trust") and named Keath's daughter and grandson as beneficiaries. Keath was aware of this amendment to the HD Trust and assisted
07/10/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KORY PENLAND KEATH (CRD No. 1242675), Respondent. Disciplinary Proceeding No. 2015044489701 Hearing Officer-MC HEARING PANEL DECISION July 10, 2017 Respondent failed to inform her firm that a client designated members of her family as beneficiaries of the client's trust and paid for Respondent's expenses when she accompanied the client on an international trip. Respondent's misconduct
Reference 2015044489701data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1242675 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.