2020065552601 Kathleen M. Bott CRD 2185075 AWC sl (2020-1604535576436).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065552601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kathleen M. Bott, Respondent Former General Securities Representative and General Securities Principal CRD No. 2185075 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Kathleen Bott submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2020-032

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adjust FINRA fees to provide sustainable funding for FINRA’s regulatory mission.

Subscribe to