Jennifer Keating

Jennifer Keating is FINRA’s Vice President of Total Rewards. In this capacity she designs, implements and manages FINRA’s compensation, recognition and benefits programs aimed at attracting and retaining skilled talent. 

Ms. Keating has over 30 years of experience in the human resources field, most of which have been spent with FINRA. She is a co-chair of FINRA’s Pension/401(k) Committee. 

2022077257801 Malay Kumar CRD 2482909 AWC gg (2023-1703981990698).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022077257801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Malay Kumar (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2482909 Pursuant to FINRA Rule 9216, Respondent Malay Kumar submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063152203 BofA Securities, Inc. CRD 283942 AWC gg (2023-1703981990849).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063152203 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BofA Securities, Inc. (Respondent) Member Firm CRD No. 283942 Pursuant to FINRA Rule 9216, Respondent BofA Securities, Inc. (BofAS) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022076212301 John Patterson Corey CRD 1032543 AWC lp (2023-1703895599981).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076212301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Patterson Corey (Respondent) Fonner General Securities Representative CRD No. 1032543 Pursuant to FINRA Rule 9216, Respondent John P. Corey submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023078843001 Stephen LaGreca CRD 7569671 AWC lp (2023-1703809192436).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078843001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen LaGreca (Respondent) Former Non-Registered Associated Person CRD No. 7569671 Pursuant to FINRA Rule 9216, Respondent Stephen LaGreca submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064746402 Allied Millennial Partners, LLC CRD 16569 AWC lp (2023-1703809192442).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064746402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Allied Millennial Partners, LLC (Respondent) Member Firm CRD No. 16569 Pursuant to FINRA Rule 9216, Respondent Allied Millennial Partners, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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