TIMOTHY JAMES KATTKE is currently employed as a Broker and/or Investment Adviser at NYLIFE SECURITIES LLC located at 603 MAIN STREET, REDFIELD, SD, 57469.
TIMOTHY JAMES KATTKE has worked at NYLIFE SECURITIES LLC since August 15, 1983
Disclosure History
TIMOTHY JAMES KATTKE has 1 Disclosure Event(s).
Date: November 09, 2015 Category: Regulatory Initiated By: South Dakota Securities Division Allegations: RR Kattke entered into a Consent Order with the South Dakota Securities Division relating to an allegation that he impersonated a client during a phone call with the NYLIFE trading desk in February 2014. The RR neither admitted nor denied the allegations, and agreed to pay a fine in the amount of $500 to settle this matter. Resolution: Order SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $500.00
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