Kimberly A. Sittarich
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/21/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075569501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kimberly A. Sittarich (Respondent) Former Non-Registered Fingerprint Person CRD No. 4497728 Pursuant to FINRA Rule 9216, Respondent Kimberly A. Sittarich submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2022075569501data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4497728 |
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