KELLYE ALLEN RAINEY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/19/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KELLYE ALLEN RAINEY (CRD No, 5037769), Respondent. Disciplinary Proceeding No. 2007009291201 Hearing Officer - Sara Nelson Bloom DEFAULT DECISION March 19, 2009 Respondent is barred from associating with any FINRA member in any capacity for failing to provide requested information, in violation of Rules 8210 and 2110. In light of the bar, no further sanctions are imposed for Respondent's willful
Reference 2007009291201finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5037769 |
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