CAROLYN CALLAHAN

09/15/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. CAROLYN CALLAHAN Registered Representative (CRD No. 4115887) Respondent Disciplinary Proceeding No. 2005000724301 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Between in or about November 2002 and in or about April 2004, Carolyn Callahan ("Callahan") was registered with Brookstone Securities, Inc., now known as Rise ("Rise"), a member of NASD. Between in or about April 2004 and in or

01/23/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CAROLYN CALLAHAN (CRD No. 4115887), Respondent. Disciplinary Proceeding No.2005000724301 Hearing Officer - DMF DEFAULT DECISION January 23, 2007 Summary Respondent is barred from associating with any NASD member in any capacity for misuse of customer funds, in violation of Rules 2330(a) and 2110. DECISION I. Introduction The Department of Enforcement filed the attached Complaint on September 18, 2006, alleging that Respondent

Reference 2005000724301finra.orgdata-portal.finra.orgdata-portal.finra.org