KEVIN L. MATHIS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/03/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEVIN L. MATHIS (CRD No. 2858756), Respondent. DISCIPLINARY PROCEEDING No. 2007008650301 HEARING OFFICER: ANDREW H.PERKINS ORDER ACCEPTING OFFER OF SETTLEMENT BY KEVIN L. MATHIS INTRODUCTION Disciplinary Proceeding No. 2007008650301 was filed on April 18, 2008, by the Department of Enforcement of the Financial Industry
04/18/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEVIN L. MATHIS (CRD No. 2858756), Respondent. DISCIPLINARY PROCEEDING No. 2007008650301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between October 2006 through March 2007, Respondent Kevin L. Mathis misappropriated more than $60,000 from the account of a customer of a member firm who
Reference 2007008650301data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2858756

Other names1

Also known as1

KEVIN LEE MATHIS

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