GEORGE KELLY FRANCIS JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/04/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002917301 TO: Department of Enforcement NASD RE: George Kelly Francis, Jr., Respondent Investment Company & Variable Contracts products Representative CRD No. 2668503 Pursuant to Rule 9216 of NASD Code of Procedure, George Kelly Francis, Jr. (Respondent) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part Il below. This AWC is submitted
Reference 2005002917301data-portal.finra.orgfinra.org
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