ESTHER E. GARCIA

05/26/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ESTHER E. GARCIA (CRD No. 4579816), Respondent. Disciplinary Proceeding No.20080146154 DEFAULT DECISION Hearing Officer - Sara Nelson Bloom May 26, 2010 For conversion of customer funds, in violation of Rule 2110, and for failing to appear for testimony, in violation of Rules 8210 and 2010, Respondent is barred from associating with any FINRA member in any capacity. Appearances David Camuzo, Esq

11/16/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Esther E. Garcia (CRD No. 4579816), Respondents. DISCIPLINARY PROCEEDING No.20080146154 COMPLAINT The Department of Enforcement alleges: SUMMARY Respondent wrongfully converted funds from three customers for her own use and benefit. Respondent also failed to appear and testify at her on-the-record interview as requested by FINRA pursuant to FINRA Rules during such time as she was subject to FINRA

Reference 2008014615401data-portal.finra.orgdata-portal.finra.orgfinra.org