AMANDA ROSE KING

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/29/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. Disciplinary Proceeding No. 20130358986 AMANDA ROSE KING, (CRD No. 6123711) Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On or about November 23, 2012, while associated with JPMorgan Securities LLC (the '?Firm") as a non-registered sales assistant and simultaneously employed as a personal banker with the Firm's affiliated bank (the ?'Bank"), Respondent
11/19/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. AMANDA ROSE KING, (CRD No. 6123711) Respondent. Disciplinary Proceeding No. 20130358986 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On or about November 23, 2012, while associated with JPMorgan Securities LLC (the “Firm") as a non-registered sales assistant and simultaneously employed as a personal banker with the Firm’s affiliated bank
Reference 2013035898601data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	6123711

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