BRETT A. JURICA

12/30/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRETT A. JURICA (CRD No. 2535339), Respondent. Disciplinary Proceeding No. E3A2004031001 Hearing Officer-AWH DEFAULT DECISION December 30, 2005 Formerly registered representative (1) misused funds in customer accounts, in violation of NASD Conduct Rules 2330 and 2110, (2) opened securities accounts at other member firms, without notice to his employing firm, and failed to advise the other member firms that he was a registered

08/03/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. BRETT A. JURICA, CRD No. 2535339, RESPONDENT. DISCIPLINARY PROCEEDING NO. E3A2004031001 HEARING OFFICER: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Brett A. Jurica ("Jurica" or "Respondent") was associated with a member of NASD from December 1, 2002 through December 31, 2003, when he engaged in the conduct alleged herein to violate NASD Rules. Jurica first became associated with an NASD

Reference E3A2004031001data-portal.finra.orgdata-portal.finra.orgfinra.org