24-02146(2).pdf
Amended
2022076589301 Kevin John Herne CRD 5320629 Complaint gg (2025-1740961196400).pdf
The Department of Enforcement alleges:
SUMMARY
1. For more than two years, Respondent Kevin Herne willfully failed to disclose on
his Uniform Application for Securities Industry Registration or Transfer (Form U4) that he had
been charged with a felony. As a result, Herne violated Article V, Section 2(c) of FINRA’s By-
Laws and FINRA Rules 1122 and 2010.
Now Available: 2025 FINRA Annual Regulatory Oversight Report
January 29, 2025
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SLS Filings Due
FINRA-required filing for members with $25 million or more in free credit balances, and by each member whose aggregate amount outstanding under repurchase agreements, securities loan contracts and bank loans is equal to or greater than $1 billion.
SLS Filings Due
FINRA-required filing for members with $25 million or more in free credit balances, and by each member whose aggregate amount outstanding under repurchase agreements, securities loan contracts and bank loans is equal to or greater than $1 billion.
SLS Filings Due
FINRA-required filing for members with $25 million or more in free credit balances, and by each member whose aggregate amount outstanding under repurchase agreements, securities loan contracts and bank loans is equal to or greater than $1 billion.
SLS Filings Due
FINRA-required filing for members with $25 million or more in free credit balances, and by each member whose aggregate amount outstanding under repurchase agreements, securities loan contracts and bank loans is equal to or greater than $1 billion.
SLS Filings Due
FINRA-required filing for members with $25 million or more in free credit balances, and by each member whose aggregate amount outstanding under repurchase agreements, securities loan contracts and bank loans is equal to or greater than $1 billion.
SLS Filings Due
FINRA-required filing for members with $25 million or more in free credit balances, and by each member whose aggregate amount outstanding under repurchase agreements, securities loan contracts and bank loans is equal to or greater than $1 billion.