CLINT H KEENER

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/12/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015048347901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Clint H. Keener, Respondent Registered Representative CRD No. 2250146 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Clint H. Keener submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2015048347901data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/12/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009431001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Clint H. Keener, Respondent Registered Representative CRD No. 2250146 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, I, Clint H. Keener, ("Keener") submit 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
Reference 2007009431001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2250146

Other names1

Also known as1

Clint H. Keener

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