KIM EDWARD ELVERUD
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/28/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Kim Edward Elverud [CRD No. 2139216] Respondent Disciplinary Proceeding 2008013429301 Hearing Officer. The Department of Enforcement alleges: SUMMARY 1. During the period from 2005 through August 2010, Kim Edward Elverud ("Elverud") was President and Chief Compliance Officer of Sumner Harrington Ltd. ("Sumner Harrington” or “the Firm”), a former FINRA registrant that withdrew its
12/08/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kim Edward Elverud, CRD No. 2139216, Respondent. Disciplinary Proceeding No. 2008013429301 Hearing Officer Lawrence B. Bernard ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 8,2010 INTRODUCTION Disciplinary Proceeding No. 2008013429301 was filed on September 28,2010, by the Department of Enforcement of the Financial
Reference 2008013429301data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2139216 |
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