KATHLEEN A JOHANSEN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/02/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074198401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kathleen A. Johansen (Respondent) Former Associated Person CRD No. 4408545 Pursuant to FINRA Rule 9216, Respondent Kathleen A. Johansen submits 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 condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2022074198401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4408545

Other names1

Also known as1

Kathleen A. Johansen

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