KITWANA NKOSI THOMAS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/07/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053262901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kitwana Thomas, Respondent Former General Securities Representative CRD No. 5539984 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2017053262901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5539984

Other names1

Also known as1

Kitwana Thomas

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.