MONICA JANE PLACEK is currently employed as a Broker and/or Investment Adviser at KESTRA INVESTMENT SERVICES, LLC located at 5707 Southwest Parkway, Building 2, STE 400, AUSTIN, TX, 78735.
MONICA JANE PLACEK has worked at KESTRA INVESTMENT SERVICES, LLC since December 16, 2003
Disclosure History
MONICA JANE PLACEK has 1 Disclosure Event(s).
Date: June 09, 1997 Category: Regulatory Initiated By: TEXAS STATE SECURITIES BOARD Allegations: Not Provided Resolution: Order SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $500.00 Sanction Details: ON JUNE 9, 1997, THE SECURITIES COMMISSIONERENTERED A CONSENT ORDER AGAINST MONICA JANE BARNES. RESPONDENTACTED AS AN AGENT OF THE EXCHANGE HOUSE, INC. WITHOUT BEINGREGISTERED WITH THE SECURITIES COMMISSIONER AS REQUIRED BYSECTION 12 OF THE SECURITIES ACT. PURSUANT TO SECTIONS 14(A)(6)& 23-1 OF THE SECURITIES ACT AN ADMINISTRATIVE FINE OF $500.00IS ISSUED ALONG WITH A REPRIMAND. Broker Comment: MY FORMER EMPLOYER MISINFORMED ME ABOUT THESECURITIES LAWS INVOLVING ORDER ENTRY.
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