CAROLYN AVIA HARMON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/15/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CAROLYN AVIA HARMON (CRD No. 4126542), Respondent. Disciplinary Proceeding No. 2009021041501 Hearing Officer - MC DEFAULT DECISION February 15, 2012 Respondent Carolyn Avia Harmon is barred from associating with any FINRA member firm in any capacity for misappropriating funds from a customer, in violation of NASD Conduct
07/11/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Carolyn Avia Harmon CRD No. 4126542, Respondent. DISCIPLINARY PROCEEDING No. 20090210415 HEARING OFFICER - COMPLAINT The Department of Enforcement ("Enforcement'') alleges: SUMMARY 1. Between November 2006 and September 2009, Respondent Carolyn Avia Harmon ("Harmon"), an unregistered
Reference 2009021041501data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4126542 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.