KEVIN G. KOLZ

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/22/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032439601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kevin G. Kolz, Respondent Registered Representative CRD No. 4031249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Kevin G. Kolz ("Respondent" or “Kolz") submits this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2012032439601finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4031249

Other names1

Also known as1

KEVIN GERALD KOLZ

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