RUSSELL PALERMO

02/03/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Russell Palermo, CRD No. 4392276 Respondent. Disciplinary Proceeding No.2005000118401 Hearing Officer - AWH ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 2, 2006 INTRODUCTION Disciplinary Proceeding No. 2005000118401 was filed on October 7, 2004, by the Department of Enforcement of NASD ("Complainant"). Respondent Russell Palermo submitted an Offer of Settlement ("Offer") to Complainant on January 26, 2006. Pursuant to Code of

02/01/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. RUSSELL PALERMO, Registered Representative (CRD No. 4392296) Respondent Disciplinary Proceeding No. 2005000118401 Hearing Officer: AWH AMENDED COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Between approximately July 2002 and January 2005, Russell Palermo ("Respondent") was registered as an Investment Company/Variable Contracts Products Representative with Farmers Financial Solutions, Inc. ("Member"),

10/07/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. RUSSELL PALERMO, Registered Representative (CRD No. 4392296) Respondent Disciplinary Proceeding No. 2005000118401 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Between approximately July 2004 and January 2005, Russell Palermo ("Respondent") was registered as an Investment Company/Variable Contracts Products Representative with MML Investors Services, Inc. ("Member"), a member of NASD

Reference 2005000118401data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org