Karen Lynn Carlin
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/06/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065023901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Karen Lynn Carlin, Respondent Non-Registered Fingerprint Individual CRD No. 5417828 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Karen Lynn Carlin submits this Letter of Acceptance. Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020065023901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5417828 |
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