CHARLES ACHESON LAVERTY

12/09/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039763101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles A. Laverty, Respondent Former Registered Representative CRD No. 4875386 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Charles A. Laverty ("Laverty"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2014039763101data-portal.finra.orgfinra.org

12/22/2020: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Charles A. Laverty Newport Beach, CA, Respondent. DECISION Complaint No. 2016050205901 Dated: December 22, 2020 Registered representative borrowed $1.35 million from customers without

04/25/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Charles A. Laverty (CRD No. 4875386), Respondent. Disciplinary Proceeding No. 2016050205901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During consecutive associations with several member firms, Respondent Charles A. Laverty borrowed $1,350,000 from an elderly

11/13/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHALRES A. LAVERTY (CRD No. 4875386), Respondent. Disciplinary Proceeding No. 2016050205901 Hearing Officer-MJD HEARING PANEL DECISION November 13, 2018 Respondent borrowed $1.35 million from an elderly married couple who were customers over a four-year period without informing his employer firms.

Reference 2016050205901data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org