KAREN DENISE CLARK-KOCINSKI
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/22/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059685701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Karen Clark-Kocinski, Respondent Investment Company and Variable Contracts Products Representative CRD No. 3169298 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Karen Clark- Kocinski submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018059685701finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3169298 |
Other names1
Also known as1
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