ERIC W CARLTON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/20/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. ERIC W. CARLTON (CRD NO. 3078425) RESPONDENT. DISCIPLINARY PROCEEDING NO. 2005000726801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between January 2003 and January 2005, Respondent Eric Carlton, through falsified and forged Letters of Authorization (LOAs), transferred funds from customers NH's and EH's Family Trust Account to other clients who had suffered losses and/or complained of overcharges. EH was deceased
05/09/2007: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Eric W. Carlton (CRD No. 3078425) Respondent. Disciplinary Proceeding No.2005000726801 Hearing Officer - SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 9, 2007 INTRODUCTION This matter (Disciplinary Proceeding No 2005000726801) was filed on February 20, 2007, by the Department of Enforcement of NASD. Respondent Eric W. Carlton submitted an Offer of Settlement to Enforcement on May 1, 2007. Pursuant to Code of Procedure Rule
Reference 2005000726801data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3078425

Other names1

Also known as1

ERIC W. CARLTON

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