DENNIS LEE KEATING II
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/22/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007011125101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dennis Lee Keating, II, Respondent CRD No. 2918547 Pursuant to Rule 9216 of FINRA Code of Procedure, I, Dennis Lee Keating, II (Respondent or Keating), 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
Reference 2007011125101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2918547 |
Other names1
Also known as1
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