KELLN BETH SMALL

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/28/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079789501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kelln B. Small (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4370485 Pursuant to FINRA Rule 9216, Respondent Kelln B. Small submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2023079789501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4370485

Other names1

Also known as1

Kelln B. Small

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