JOHN WALTER KELLER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/06/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094299 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Walter Keller, Respondent Former Registered Representative CRD No. 873009 Pursuant to Rule 9216 of FINRA Code of Procedure, I, John Walter Keller, submit 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
Reference 2007009429901finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 873009 |
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