KEITH DWAYNE MCGREGORY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/09/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039737601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA'D RE: Keith D. McGregory, Respondent Registered Representative CRD No. 2217000 Pursuant to FINRA Rule 9216 ofFINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC') for the puipose ofproposing a settlement ofthe alleged rule violations described below. This AWC is submitted on the conditi
Reference 2014039737601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2217000

Other names1

Also known as1

Keith D. McGregory

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.