LAWRENCE NALLIE

11/22/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. LAWRENCE NALLIE (CRD No. 2364153), Respondent. Disciplinary Proceeding No. C8A050004 Hearing Officer-RSH DEFAULT DECISION November 22, 2005 Respondent is barred from associating with any NASD member in any capacity for misuse of customer funds, in violation of Rule 2110. In light of the bar, no additional sanctions are imposed for Respondent's failure to

01/13/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. LAWRENCE NALLIE General Securities Representative CRD# 2364153, Respondent. COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Lawrence Nallie ("Respondent Nallie") was associated with American Express Financial Advisors ("Member"), a member of NASD, from about October 9, 1996 until November 19, 2003. During that time, Respondent Nallie was

Reference C8A050004data-portal.finra.orgdata-portal.finra.orgfinra.org

10/20/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. LAWRENCE NALLIE General Securities Representative CRD # 2364153, Respondent. Disciplinary Proceeding No. 2005000725301 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Lawrence Nallie ("Respondent Nallie") was associated with American Express Financial Advisors ("Member"), a member of NASD, from about October 9. 1996 until November 19, 2003. During that time, Respondent Nallie was associated

Reference 2005000725301data-portal.finra.orgfinra.org