JAYNE ANN KLEVEN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/27/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050025618-01 To: Department of Enforcement NASD Re: Jayne Ann Kleven General Securities Representative (CRD No. 1310727) Pursuant to Rule 9216 of NASD Code of Procedure, I, Jayne Ann Kleven, submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me
Reference 2005002561801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1310727 |
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