KIM M. VICTOR

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/14/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008014374301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kim M. Victor, Respondent General Securities Principal General Securities Representative Limited Representative - Investment Company and Variable Contracts Products CRD No. 1239530 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for
Reference 2008014374301finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1239530

Other names1

Also known as1

KIM MERLE VICTOR

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