TONYA A. ROBERTS

05/20/2005: NASD REGULATION, INC. OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. TONYA A. ROBERTS Registered Representative (CRD No. 4174065) Respondent Disciplinary Proceeding No. C8A050042 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. From on or about October 3, 2000 to on or about May 14, 2003, Tonya A. Roberts ("Respondent Roberts") was registered as a General Securities Representative with Charles Schwab & Co., Inc. ("Member") a member of NASD. On

09/30/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TONYA A. ROBERTS (CRD No. 4174065), Respondent. Disciplinary Proceeding No. C8A050042 DEFAULT DECISION Hearing Officer-SW Dated: September 30, 2005 Respondent is barred from associating with any member Firm in any capacity for: (i) violating NASD Conduct Rule 2110 by improperly using a customer's personal information to obtain and use credit cards for Respondent's own use and benefit; and (ii) violating NASD Conduct Rule 2110 and

Reference C8A050042data-portal.finra.orgfinra.orgdata-portal.finra.org