Courtney Michelle Kaplan
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/30/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071439701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Courtney Michelle Kaplan (Respondent) Former General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 5249375 Pursuant to FINRA Rule 9216, Respondent Courtney Kaplan submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged
Reference 2021071439701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5249375 |
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