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Home > über > Keith Holcomb | FINRA Disciplinary Action

Keith Holcomb | FINRA Disciplinary Action

Girard Bengali
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

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