FINRA

Without admitting or denying the findings, Greenlee-Keck consented to the sanctions and to the entry of findings that she failed to completely respond to FINRA request for documents and information in connection with FINRA's investigation into a Form U5 filed by her member firm. The findings stated that the firm filed the Form U5 terminating Greenlee-Keck's registration and later amended the Form U5 to disclose that she resigned while under internal review for engaging in financial transactions with a firm employee and with an individual who subsequently became a firm customer.

Acceptance, Waiver & Consent(AWC)

Bar (Permanent)

all capacities

indefinite

10/20/2017

FINRA

Respondent Greenlee-Keck failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Letter

Suspension

All capacities

Indefinite

Continues until required payment is made or discharged.

10/13/2017

Pursuant to Article VI, Section 3 of FINRA By-Laws, and FINRA Rule 9554, Respondent Greenlee-Keck is suspended on October 13, 2017 for failure to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Wells Fargo Advisors, LLC.

Discharged

Discharged for non-disclosure of internal review at prior employer on pre-registration form prior to employment. Facts and circumstances associated with said internal review would have resulted in Firm not hiring team member.

J.P. MORGAN SECURITIES LLC

Voluntary Resignation

Registered rep voluntarily resigned while under internal review for engaging in financial transactions with an individual who subsequently became a firm customer and a co-worker in violation of affiliate bank policy. Registered rep used one client's funds to pay down the credit card balance of another client of bank affiliate. The initial individual who subsequently became a client authorized the use of the funds to pay down the credit card balance of another client of bank affiliate.

CLIENT ALLEGES REPRESENTATIVE MISREPRESENTED THE TAX CONSEQUENCES WHEN SWITCHING THEIR ACCOUNT AND SUITABILITY. ACTIVITY DATES 07/01/2010-08/03/2010.

$32,314.00