MICHAEL WILLIAM KELEHER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/04/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael William Keleher, CRD No. 3244480, Respondent. Disciplinary Proceeding No.2008013229701 Hearing Officer: RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 4, 2011 INTRODUCTION Disciplinary Proceeding No. 2008013229701 was filed on July 21,2010, by the Department of Enforcement of the Financial Industry
07/21/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael WUliam Keleher (CRD No. 3244480), Respondent. DISCIPLINARY PROCEEDING No. 2008013229701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Michael William Keleher (Keleher) falsified the account information documents of three customers, all of whom were seniors. Keleher also engaged in unauthorized trading
Reference 2008013229701data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3244480 |
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