Keith Holcomb | FINRA Disciplinary Action

March 29, 2021

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061870301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Keith Holcomb (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6227200 In accordance with FINRA Rule 9216, Respondent Keith Holcomb submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Case ID Number: 2019061870301

FINRA Disciplinary Actions February 2021
Cambridge Investment Research, Inc. | FINRA Disciplinary Action

Related Posts

conference room where you can have free and confidential case evaluation

Contact Us for Your Confidential and Free Case Evaluation.

Buildings in Los Angeles

Financial District, Los Angeles

Visit The Los Angeles Office
Call (866) 760-5009 or
California homes

Business District, Newport Beach

Visit The Newport Beach Office
Call (866) 760-5009 or
The skyline of san francisco at sunset.

Financial District, San Francisco

Visit The San Francisco Office
Call (866) 760-5009 or