CAROLYN S. EVERHARD

06/19/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CAROLYN S. EVERHARD (CRD No. 2344119), Respondent. Disciplinary Proceeding No. 20050025930 Hearing Officer - DMF HEARING PANEL DECISION June 19, 2007 Summary Respondent is barred from associating with any NASD member in any capacity for conversion of customer funds, in violation of Rule 2110. In light of the bar, no additional sanctions are imposed on Respondent for her failure to respond fully and in a timely manner to NASD

07/14/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. Carolyn S. Everhard Registered Representative (CRD No. 2344119) Respondent Disciplinary Proceeding No. 20050025930 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Between July 2005 and October 2005, Carolyn S. Everhard ("Respondent") was registered as an Investment Company/Variable Contracts Products Representative with Chase Investment Services Corp. ("Member"), a member of NASD. Respondent

Reference 2005002593001data-portal.finra.orgfinra.orgdata-portal.finra.org