PURVIS GERARD PRESHA

01/14/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Purvis Presha (CRD No. 5433332), Respondent. DISCIPLINARY PROCEEDING No. 2009018773301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between October 2007 and January 2008, Purvis Presha ("Presha" or "Respondent") made misrepresentations and omissions of material fact to an individual, JL, that led JL to give Presha a check in his name for $10,000 to purchase an annuity on her behalf

07/15/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PURVIS PRESHA (CRD No. 5433332) Respondent. Disciplinary Proceeding No. 2009018773301 Hearing Officer - SNB DEFAULT DECISION July 15, 2010 Respondent is barred from associating with any member firm for failing to respond to requests for information, in violation of FINRA Procedural Rule 8210 and Conduct Rule 2010. The cause of action alleging that Respondent made material misrepresentations and

Reference 2009018773301data-portal.finra.orgdata-portal.finra.orgfinra.org