USA: Virginia registered principal barred by FINRA
Posted by nileshkokane on 6 February, 2012
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This item was filled under [ Financial Regulators, USA ]
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Joyce Ann Kauffmann of Powhatan, Virginia has submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Kauffmann consented to the described sanction and to the entry of findings that she improperly borrowed $25,000, evidenced by a promissory note, from her customer at her member firm.
The original article can be found at Financial Industry Regulatory Authority.
