Keith Todd Ashley

12/10/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Keith Todd Ashley CRD No. 4096004, Respondent. Disciplinary Proceeding No. 2020068470002 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Keith Ashley failed to respond to requests for information that FINRA made pursuant to FINRA Rule 8210

10/21/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Keith Todd Ashley CRD No. 4096004, Respondent. Disciplinary Proceeding No.2020068470002 Hearing Officer-MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 21, 2022 INTRODUCTION Disciplinary Proceeding No. 2020068470002 was filed on December 10, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Keith Todd Ashley submitted an Offer of Settlement (Offer) to Complainant dated October 13, 2022. Pursuant to FINRA Rule 9270(e), the Complainant and the National Adjudicatory Council (NAC), a Review Subcommittee of the NAC, or the Office of Disciplinary Affairs (ODA) have accepted the uncontested Offer. Accordingly, this Order now is issued pursuant to FINRA Rule 9270(e)(3). The findings, conclusions and sanctions set forth in this Order are those stated in the Offer as accepted by the Complainant and approved by the NAC.

Reference 2020068470002data-portal.finra.orgfinra.orgdata-portal.finra.org