Kelly Diane Thomason
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/31/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068668802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kelly Diane Thomason (Respondent) Former Investment Company and Variable Contracts Products Representative (IR) CRD No. 5684407 Pursuant to FINRA Rule 9216, Respondent Kelly Diane Thomason submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described
Reference 2020068668802data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5684407 |
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