CHRISTOPHER T. KLINE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/08/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005286102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Christopher T. Kline, Respondent General Securities Representative CRD No. 1641746 Pursuant to NASD 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. This AWC is submitted on the
Reference 2006005286102data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1641746

Other names1

Also known as1

CHRISTOPHER THOMAS KLINE

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.