Kim Dee Isaacson
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/25/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kim Dee Isaacson, CRD No. 855618, Respondent. Disciplinary Proceeding No. 2014040199101 Hearing Officer MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: INTRODUCTION Disciplinary Proceeding No. 2014040199101 was filed on June 9, 2017, by the Department of Enforcement (Enforcement) of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Kim Dee Isaacson (Isaacson)
06/09/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Kim Dee Isaacson (CRD No. 855618), Respondent. DISCIPLINARY PROCEEDING No. 2014040199101 HEARING OFFICER: COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. From May 2010 through January 2014 (the "Relevant Period), while employed as a General Securities Representative with Morgan Stanley ("Morgan Stanley" or the "Firm"), a FINRA-regulated broker-dealer, Kim
Reference 2014040199101finra.orgdata-portal.finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 855618 |
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