AMI K FORTE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/21/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ami Kathryn Forte (CRD No. 2457536) and Charles Joseph Lawrence (CRD NO. 3131566), Respondents. Disciplinary Proceeding No. 2016049321302 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 21, 2019 INTRODUCTION Disciplinary Proceeding No. 2016049321302 was filed on December 20, 2018, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or
12/20/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ami Kathryn Forte (CRD No. 2457536) and Charles Joseph Lawrence (CRD No. 3131566), Respondents. DISCIPLINARY PROCEEDING NO.2016049321302 HEARING OFFICER: COMPLAINT The Department Enforcement alleges: SUMMARY 1. From September 2011 through June 2012 9the "Relevant Period"), while registered with member firm
Reference 2016049321302data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2457536

Other names1

Also known as1

Ami Kathryn Forte

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