KEVIN MICHAEL HOLT

KEVIN MICHAEL HOLT is currently employed as a Broker and/or Investment Adviser at CASEY SECURITIES, LLC located at 220 MONTGOMERY STREET, SUITE 200, SAN FRANCISCO, CA, 94104.

KEVIN MICHAEL HOLT has worked at CASEY SECURITIES, LLC since May 13, 2005

Disclosure History

KEVIN MICHAEL HOLT has 1 Disclosure Event(s).

Date: June 24, 2003
Category: Regulatory
Initiated By: PACIFIC STOCK EXCHANGE
Allegations: FLOOR BROKER FOR AN OPTIONS TRADING PERMIT FIRM FAILED TO PROPERLY USE AN ERROR ACCOUNT, FAILED TO IMMEDIATELY AND CONTINUOUSLY REPRESENT ORDERS, IMPROPERLY ACTED AS PRINCIPAL AND AGENT IN THE SAME TRANSACTION, FAILED TO ENTER THE DETAILS OF A TRANSACTION INTO THE ELECTRONIC ORDER CAPTURE SYSTEM BEFORE EXECUTING AND VOCALIZING IT, FAILED TO PRICE REPORT WITHIN 90 SECONDS OF A TRANSACTION, FAILED TO ABIDE BY THE PRIORITY OF BIDS, AND ENGAGED IN IMPROPER TRADE-THROUGHS (PCX RULES 6.46(A), 6.46(G), 6.50(A), 6.67(C), 6.69(A), 6.75(A), 6.94(A)(1)).
Resolution: Decision & Order of Offer of Settlement SanctionDetails:
Sanctions: Monetary/Fine SanctionDetails:
Amount: $4,000.00 Sanction Details: $4,000.00 FINE PAID ON OCTOBER 10, 2005.
Broker Comment: AS DESCRIBED 12C, ABOVE; FINE WAS PAID ON 10/18/2005 AND PCX BROKER EXAM WAS TAKEN ON NOVEMBER 10, 2005

More Information

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