LAURA JANE LEIKER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/08/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022030901 To: Department of Enforcement FINRA Re: Laura Jane Leiker Investment Company and Variable Contracts Products Principal CRD No. 4781255 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, I, Laura Jane Leiker, submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that
Reference 2010022030901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4781255 |
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