NORMA M SKEETE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/24/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Norma M. Skeete (CRD No. 1175911), Respondent. DISCIPLINARY PROCEEDING No. 2013036555501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From March 2011 to July 2011 Respondent, in violation of FINRA Rule 2010, made negligent misrepresentations to JA, a customer of her member firm, in connection with a loan that JA made to a real estate venture. RESPONDENT AND JURISDICTION
09/02/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Norma M. Skeete (CRD No. 1175911), Respondent. Disciplinary Proceeding No. 2013036555501 Hearing Officer: Lucinda McConathy ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 2, 2015 INTRODUCTION Disciplinary Proceeding No. 20130365555 was filed on March 24, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
Reference 2013036555501data-portal.finra.orgfinra.orgdata-portal.finra.org
Other names1
Also known as1
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