KENNETH DALEY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/27/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050129701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kenneth Daley. Respondent General Securities Representative CRD No. 2352143 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure. Respondent Kenneth Daley ("Daley" or ''Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation
Reference 2016050129701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2352143

Other names1

Also known as1

KENNETH JAMES DALEY

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