KATHLEEN MARIE BOTT

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/02/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065552601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kathleen M. Bott, Respondent Former General Securities Representative and General Securities Principal CRD No. 2185075 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Kathleen Bott submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020065552601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2185075

Other names1

Also known as1

Kathleen M. Bott

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