KA KIERTONKAYSY LOR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/07/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. KA KIERTONKAYSY LOR (CRD No. 4761591), Respondent. DISCIPLINARY PROCEEDING No. 2014041073501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In or about October 2013, Respondent Ka Kiertonkaysy Lor ("Lor" or "Respondent") converted certain insurance customer funds and used them to pay for her office rent, staff salaries and office expenses, rather than making the customers'
09/06/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. KA KIERTDNKAYSY LOR (CRD No. 4761591), Respondent. Disciplinary Proceeding No. 2014041073501 Hearing Officer LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 6, 2016 INTRODUCTION Disciplinary Proceeding No. 201404]1073501 was filed on April 7, 2016, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Ka Kiertonkaysy Lor
Reference 2014041073501finra.orgdata-portal.finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4761591 |
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