Gaelin Monkman-Kotz
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/21/2025: From February 2021 to August 5, 2023, Monkman-Kotz was included on more than 4,000 WeChat messages to or from other Velox Clearing LLC personnel and Velox customers relating to the firm’s business, some of which she sent. Velox neither supervised nor retained those WeChat messages. By causing Velox to maintain incomplete books and records, Monkman-Kotz violated FINRA Rules 4511 and 2010 and is suspended for one month and fined $5,000.
Reference 2022077267701data-portal.finra.orgfinra.org
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