LESLIE RHODES KOONCE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/14/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015048088401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Leslie Koonce (CRD No. 1131758), Respondent General Securities Representative Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2015048088401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1131758

Other names1

Also known as1

Leslie Koonce

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