SHERRI L. HERRERA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/15/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. SHERRI L. HERRERA, CRD No. 4491409, RESPONDENT. DISCIPLINARY PROCEEDING No. C3A050029 HEARING OFFICER: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Sherry L. Herrera ("Herrera" or "Respondent") was associated with Farmers Financial Solutions ("FFS"), a member of NASD, from on or about January 7, 2002 until on or about
11/02/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. SHERRI L. HERRERA (CRD No. 4491409), Respondent. Disciplinary Proceeding No. C3A050029 Hearing Officer - SNB DEFAULT DECISION November 2, 2005 For misuse 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
Reference C3A050029data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4491409 |
Other names1
Also known as1
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