MARY FRANCES SPEARS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/27/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. MARY FRANCES SPEARS (CRD No. 4297575), Respondent. Disciplinary Proceeding No. E3B20040231-02 Hearing Officer - RSH DEFAULT DECISION September 27, 2006 Respondent violated NASD Conduct Rules 3040 and 2110 by engaging in a private securities transaction; Conduct Rules 2310(a) and 2110 by recommending unsuitable securities to her customers; and Conduct Rules 3030 and 2110 by engaging in an outside business activity without notifying her
01/04/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARY FRANCES SPEARS (CRD No. 4297575), Respondent. Disciplinary Proceeding No. E3B20040231-02 Hearing Officer COMPLAINT Upon information and belief, the Department of Enforcement ("Complainant") alleges as follows: JURISDICTION 1. On or about October 11, 2001, Respondent Mary Frances Spears ("Respondent") first became registered with member firm American Express Financial Advisors, Inc. (BD No. 6363) ("AEFA"). Respondent remained
Reference E3B2004023102finra.orgdata-portal.finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4297575 |
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.