KEITH A. HALSNIK

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/11/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEITH A. HALSNIK (CRD No. 5018189), Respondent. Disciplinary Proceeding No. 2011029300802 Hearing Officer-RLP DEFAULT DECISION October 11, 2013 For failing to respond in a full and timely manner to requests for information, for failing to respond in any manner to additional requests for information, and for failing to appear for testimony, in violation of Rules 8210 and 2010, Respondent is barred
Reference 2011029300802finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/11/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS , DEPARTMENT OF ENFORCEMENT, Complainant, V. KEITH A. HALSNIK DEFAULT DECISION (CRD No. 5018189), Respondent. Disciplinary Proceeding No. 2011029300801 Hearing Officer - RLP October 11, 2013 For failing to respond in a full and timely manner to requests for information, for failing to respond in any manner to additional requests for information, and for failing to appear for testimony, in violation of Rules 8210 and 2010, Respondent is
Reference 2011029300801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5018189

Other names1

Also known as1

KEITH ANDREW HALSNIK

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.