HENRY C. BAREFIELD

12/20/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HENRY C. BAREFIELD (CRD No. 4075146), Respondent. Disciplinary Proceeding No. 2005000934401 Hearing Officer - DMF DEFAULT DECISION December 20, 2006 Summary Respondent is barred from associating with any NASD member in any capacity for misuse of customer funds, in violation of Rules 2330(a) and 2110, and failing to respond to requests for information, in violation of Rules 8210 and 2210. Appearances Richard S. Schultz, Esq., Chicago,

04/17/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. HENRY C. BAREFIELD Limited Registered Principal (CRD No. 4075146) Respondent Disciplinary Proceeding No. 2005000934401 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. From on or about July 10, 2001 to on or about March 11, 2005, Henry C. Barefield ("Respondent Barefield") was registered as a General Securities Representative and an Investment Company and Variable Contracts Products Principal

Reference 2005000934401data-portal.finra.orgdata-portal.finra.orgfinra.org