KALEEN A. COOPER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/23/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Kaleen A. Cooper (CRD No. 4471537), Respondent. DISCIPLINARY PROCEEDING No.2007008636401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From about August 25, 2005 to about November 28, 2006, Kaleen A. Cooper converted a total of approximately $12,017 from four customers by forging their signatures
11/21/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KALEEN A. COOPER (CRD No. 4471537), Respondent. Disciplinary Proceeding No.2007008636401 Hearing Officer - AWH DEFAULT DECISION November 21, 2008 Respondent is barred from associating with any FINRA member in any capacity for conversion of customer funds, in violation of NASD Conduct Rules 2330(a), 2110, and IM-2310-2, and
Reference 2007008636401data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4471537 |
Other names1
Also known as1
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