MARGARET KOPECKI

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/03/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Margaret Kopecki DISCIPLINARY PROCEEDING (CRD No. 1260147), No. 2011030781201 Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between approximately August 2009 and September 2009 (the "Relevant Period"), GP, an elderly customer of LPL Financial Corporation ("LPL" or the ''Firm") agreed to provide $75,000 to Margaret Kopecki (''Respondent") to
05/22/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Margaret Kopecki (CRD No. 1260147), Respondent. DISCIPLINARY PROCEEDING No. 2011030781201 Hearing Officer: RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 22, 2015 INTRODUCTION Disciplinary Proceeding No. 2011030781201 was filed on September 3, 2014 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (''Complainant"). Margaret Kopecki ("Respondent")
Reference 2011030781201data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1260147

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