JEFFREY L. LARSON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JEFFREY L. LARSON (CRD No. 4816797), Respondent. DISCIPLINARY PROCEEDING No. 2010021928801 Hearing Officer - MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 7, 2011 INTRODUCTION Disciplinary Proceeding No. 2010021928801 was filed on March 31, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Jeffrey L. Larson submitted an Offer
03/31/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JEFFREY L. LARSON (CRD No. 4816797), Respondent. DISCIPLINARY PROCEEDING No. 2010021928801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent and former World Group Securities, Inc. ("the Firm") representative, Jeffrey L. Larson solicited and obtained $51,600.00, in the form of checks payable to "W.F.G. Fund" from an elderly individual after representing that she could increase
Reference 2010021928801data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4816797 |
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