MARK VERNON BROWN

11/09/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARK VERNON BROWN (CRD No. 2233771), Respondent. Disciplinary Proceeding No. 2005000931301 DEFAULT DECISION Hearing Officer-SW Dated: November 9, 2006 The Hearing Officer imposes a bar on Respondent for engaging in an egregious scheme involving: (i) violations of NASD Conduct Rule 2110 when he forged the signatures of four customers on letters of authorization and forged the signatures of four customers on letters of authorization

05/24/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARK VERNON BROWN (CRD No. 2233771) Respondents. Disciplinary Proceeding No.2005000931301 Hearing Officer - COMPLAINT Upon information and belief, Complainant alleges as follows: RESPONDENT 1. Respondent Mark Vernon Brown ("Brown") was first registered as a general securities representative in November 1987, while associated with an NASD member firm. He was employed by Advest, Inc.. ("Advest") until November 2004. Numerous amended

Reference 2005000931301data-portal.finra.orgfinra.orgdata-portal.finra.org