FELTUS B. MCKOWEN

09/13/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017210601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA) RE: Feltus B. McKowen, Respondent General Securities Representative CRD No. 1231747 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Feltus B. McKowen, 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

Reference 2009017210601data-portal.finra.orgfinra.org

03/17/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Feltus B. McKowen General Securities Representative [CRD No. 1231747], Respondent Disciplinary Proceeding No. E052003017101 Hearing Officer: ____ COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Feltus B. McKowen ("McKowen") entered the securities industry in February 15, 1983 as a General Securities Representative of

07/13/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Feltus B. McKowen General Securities Representative [CRD No. 1231747], Respondent. Disciplinary Proceeding No. E052003017101 Hearing Officer: DMF ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 13, 2006 INTRODUCTION Disciplinary Proceeding No. E052003017101 was filed on March 7,2006, by the Department of Enforcement of NASD ("Complainant"). Respondent

Reference E052003017101data-portal.finra.orgdata-portal.finra.orgfinra.org