LAWRENCE J. HAYE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/01/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Lawrence J. Haye (CRD No. 4803348), Respondent. DISCPLINARY PROCEEDING NO. 20100224388 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2007 to March 2009 (the relevant period), Lawrence J. Haye converted and otherwise misused customers' funds. This conduct violated NASD Conduct Rules 2330(a) and 2110 and FINRA Rule 2010. 2. In addition, Haye failed to respond to FINRA
06/04/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. LAWRENCE J. HAYE (CRD No. 4803348), Respondent. Disciplinary Proceeding No. 2010022438801 Hearing Officer - SNB DEFAULT DECISION June 4, 2012 Respondent is barred from associating with any FINRA member firm in any capacity for misusing and converting customer funds, in violation of NASD Rules 2330(a) and 2110, and FINRA Rule 2010, and for failing to respond to requests for information and failing to
Reference 2010022438801data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4803348

Other names1

Also known as1

LAWRENCE JOSEPH HAYE

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