KEVIN PAUL O'BRIEN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/14/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015004001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Kevin Paul O'Brien, Respondent Registered Representative CRD No. 1782288 Pursuant tol FINRA Rule 9216 of the FINRA Code of Procedure, Kevin Paul O'Brien (''Respondent" or "O'Brien") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the
Reference 2008015004001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1782288

Other names1

Also known as1

KEVIN PAUL OBRIEN

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