KIMBERLY P. HARDAKER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/03/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050002046 TO: Department of Enforcement NASD RE: Kimberly P. Hardaker, Respondent General Securities Principal and General Securities Representative CRD No. 1816093 Pursuant to Rule 9216 of NASD Code of Procedure, I, Kimberly P. Hardaker ("Hardaker"), submit 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,
Reference 2005000204601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1816093

Other names1

Also known as1

KIMBERLY PINE HARDAKER

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