MIKE A KETCHAM
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/22/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, V. MIKE A. KETCHAM, Registered Representative (CRD No. 4945897) Respondent. Disciplinary Proceeding Complainant No. 2006006434701 Hearing Officer COMPLAINT The Department of Enforcement alleges: 1. Mike A. Ketcham ("Ketcham") was registered with Chase Investment Services Corp. ("Member"), a member of NASD, as an Investment Company/Variable Contracts Products Representative from approximately July 2005 until September 2006 at which time he
06/20/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MIKE A. KETCHAM (CRD No. 4945897), Respondent. Disciplinary Proceeding No. 2006006434701 Hearing Officer DRP DEFAULT DECISION June 20, 2007 Respondent is barred from association with any member firm in any capacity for converting funds, in violation of NASD Conduct Rule 2110, and for failing to respond to NASD staff requests for information, in violation of NASD Procedural Rule 8210 and NASD Conduct Rule 2110. Appearances
Reference 2006006434701data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4945897 |
Other names1
Also known as1
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