KATHLEEN A. GLASER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/01/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008012940101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kathleen Ann Glaser, Respondent Branch Office Administrator CRD No. 4431300 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Kathleen Ann Glaser, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation described below. This AWC is
Reference 2008012940101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4431300

Other names1

Also known as1

KATHLEEN ANN GLASER

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