LARA DEBRY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/29/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. LARA DEBRY (CRD No. 1720653), Respondent. Disciplinary Proceeding No. C3A040049 Hearing Officer - RSH DEFAULT DECISION June 29, 2005 Respondent violated NASD Conduct Rules 2330(a) and 2110 by converting funds from a customer account for her own use and without the customer's knowledge or consent. For these violations, she is barred from associating with any
01/06/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Lara Debry RD No. 1720653 Respondent. Disciplinary Proceeding No. C3A040049 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Lara Debry ("Respondent" or "Debry") has been previously registered as a General Securities Representative with nine member firms commencing in 1987. From approximately October 2,
Reference C3A040049data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1720653 |
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