FINRA Cites KeyBanc For Employees’ Outside Brokerage Accounts

FINRA Cites KeyBanc For Employees' Outside Brokerage AccountsFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, KeyBanc Capital Markets, Inc. submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. In the Matter of KeyBanc Capital Markets, Inc., Respondent (AWC 20090185906, May 16, 2012).

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