CHRISTOPHER P SMITH

08/16/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009019838801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Christopher P. Smith, Respondent Former Personal Banker CRD No. 4886942 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Christopher P. Smith ("Smith"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2009019838802data-portal.finra.orgfinra.org

08/02/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Christopher P. Smith (CRD No.4886942), Respondent. DISCIPLINARY PROCEEDING No. 2009019838801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between September 2007 and August 2009, Christopher P. Smith ("Smith" or "Respondent") made unauthorized withdrawals totaling approximately $231,000 from the accounts of ten customers of J.P. Morgan Chase Bank N.A. (the "Bank"), an affiliated bank

08/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTOPHER P. SMITH (CRD No. 4886942), Respondent. Disciplinary Proceeding No. 2009019838801 Hearing Officer -MAD ORDER GRANTING ENFORCEMENT'S MOTION TO WITHDRAW COMPLAINT On August 16, 2011, the Department of Enforcement moved to withdraw the Complaint pursuant to Rule 9212(c), Upon careful consideration, the motion to withdraw the Complaint is granted without prejudice and this

Reference 2009019838801data-portal.finra.orgdata-portal.finra.orgfinra.org