Kevin Cory
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/26/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073802901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Cory (Respondent) Former General Securities Representative CRD No. 1716966 Pursuant to FINRA Rule 9216, Respondent Kevin Cory submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2022073802901finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1716966 |
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