BAMBI IRIS HOLZER

12/19/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BAMBI IRIS HOLZER (CRD No. 1088028), Respondent. Disciplinary Proceeding No. 2010021778101 Hearing Officer - MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 19, 2013 INTRODUCTION Disciplinary Proceeding No. 2010021778101 was filed on October 18, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Bambi Iris Holzer submitted an

10/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bambi Iris Holzer (CRD No. 1088028) Respondent. DISCIPLINARY PROCEEDING No. 2010021778101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between February and March 2008, Respondent Bambi Holzer made unsuitable recommendations to seven customers to purchase interests in Provident Shale Royalties 8, LLC (Provident 8), which was a speculative and illiquid investment. The purchases also

Reference 2010021778101data-portal.finra.orgdata-portal.finra.orgfinra.org

06/17/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C02050049 TO: Department of Enforcement NASD RE: Bambi Iris Holzer. Respondent General Securities Representative CRD No. 1088028 Pursuant to Rule 9216 of NASD Code of Procedure, I submit 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

Reference C02050049data-portal.finra.orgfinra.org