Lynsey King

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/28/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048509701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lynsey King, Respondent Former Associated Person CRD No. 6256535 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Lynsey King ("Respondent") 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
Reference 2016048509701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6256535

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