BRETT S. KLEESE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/03/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENTS NO. 2008013575101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brett S. Kleese, Respondent CRD No. 3012167 Pursuant to Rule 9216 of FINRA Code of Procedure, Respondent, Brett S. Kleese (Kleese) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2008013575101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3012167

Other names1

Also known as1

BRETT STERLING KLEESE

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.