BRYAN L. CLAGGETT

09/12/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRYAN L. CLAGGETT (CRD No. 820866), Respondent. Disciplinary Proceeding No. 2005000631501 Hearing Panel Decision Granting Enforcement's Motion for Summary Disposition Hearing Officer - SNB September 12, 2006 For forgery and falsification of documents, in violation of Rule 2110, Respondent is barred in all capacities. In light of the bar, no further sanctions are imposed for Respondent's failure to disclose to his employer his

09/28/2007: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Bryan L. Claggett Benton, AR, Respondent. DECISION Complaint No. 2005000631501 Dated: September 28, 2007 Respondent forged two firm documents, falsified a customer document, and failed to disclose in writing to his member firm his financial interest in a brokerage account held at another member firm. Held, findings modified and sanctions affirmed. Appearances For

Reference 2005000631501data-portal.finra.orgdata-portal.finra.orgfinra.org