Elizabeth Ann Sollars

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/22/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ELIZABETH ANN SOLLARS (CRD No. 6606776), Respondent. Disciplinary Proceeding No. 2020065292102 Hearing Officer–LOM DEFAULT DECISION September 22, 2021 Respondent Elizabeth Ann Sollars failed to respond to two Rule 8210 requests for information and documents and two Rule 8210 requests for on-the-record testimony. For this misconduct, Respondent is barred from associating with any member firm in any capacity.
06/07/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Elizabeth Ann Sollars (CRD No. 6606776), Respondent. DISCIPLINARY PROCEEDING No. 2020065292102 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In connection with FINRA's investigation into allegations that she misappropriated insurance customer premium payments, Respondent Elizabeth Ann Sollars
Reference 2020065292102data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	6606776

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