EVAN TABER

Regulator action

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/03/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008011565201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Evan Taber, Respondent General Securities Representative [CRD No.1892751] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Evan Taber, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the
Reference 2008011565201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/14/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000904401 TO: Department of Enforcement NASD RE: Evan Taber CRD NO.1892751 Pursuant to Rule 9216 of NASD Code of Procedure, Evan Taber submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging violations based on the same factual
Reference 2005000904401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. EVAN TABER (CRD No. 1892751), Respondent. Disciplinary Proceeding No. 2010021196801 Hearing Officer - MAD DEFAULT DECISION September 7, 2011 Respondent is barred from associating with any FINRA registered firm in any capacity for conversion of customer funds, in violation of NASD Conduct Rules 2330(a) and 2010.
03/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Evan Taber, Respondent General Securities Representative [CRDNo.1892751], Respondent. DISCIPLINARY PROCEEDING No. 2010021196801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On or about November 18, 2008, Evan Taber converted $30,000 that Aura Financial Services, Inc. (Aura) customer JC had entrusted with him
Reference 2010021196801data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1892751

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