KRISTIN M BROWN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/20/2006: NASD LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2006005464501 TO: Department of Enforcement NASD RE: Kristin M. Brown, Respondent Associated Person CRD No. 5057244 Pursuant to Rule 9216 of the NASD 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 in Part II below. This AWC Is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging violation
Reference 2006005464501finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5057244

Other names1

Also known as1

KRISTIN M. BROWN

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