BRYAN C. TERRA

08/26/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bryan C. Terra CRD No. 4717215 Respondent. Disciplinary Proceeding No. 2005000870801 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Bryan C. Terra was registered as an investment company and variable contracts products representative with NASD member Banc One Securities Corporation ("BOSC") from January 20, 2004 until March 4, 2005. His employment end date with BOSC was February

06/14/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRYAN C. TERRA (CRD No. 4717215), Respondent. Disciplinary Proceeding No.2005000870801 Default Decision Hearing Officer - SNB June 14, 2006 For conversion of customer funds, in violation of Rule 2110, and for failure to provide requested information, in violation of Rules 8210 and 2110, Respondent is barred from associating with any NASD member in any capacity. Appearances Gene E. Carasick, Esq., Regional Counsel, NASD, Atlanta, GA,

Reference 2005000870801data-portal.finra.orgdata-portal.finra.orgfinra.org