KEN ALAN BALSER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/19/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160507270-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kenneth Alan Balser, Respondent CRD No. 704053 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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 condition that, if accepted, FINRA will
Reference 2016050727001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	704053

Other names1

Also known as1

Kenneth Alan Balser

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.