LARRY D KOETS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/01/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050033302 TO: Department of Enforcement NASD RE: Larry D. Koets. Respondent Investment Company Products/Variable Contracts Representative CRD No. 1973836 Pursuant to Rule 9216 of NASD Code of Procedure, I, Larry D. Koets, 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
Reference 2005003330201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1973836

Other names1

Also known as1

LARRY D. KOETS

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