KELLY PETER D

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/13/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060042907-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Mr. Peter D. Kelly (CRD No. 4089029) Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, I, Peter D. Kelly ("Respondent" or "Kelly"), 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 the
Reference 2006004290702finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4089029

Other names1

Also known as1

PETER DAMIEN KELLY

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.