DARETH AMBER MARTIN

03/11/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DARETH MARTIN (CRD No. 4479899), Respondent. DISCIPLINARY PROCEEDING No. 2009019349301 Hearing Officer - COMPLAINT SUMMARY 1. Between 2004 and August 2009, Respondent Dareth Martin misappropriated approximately $81,000 from her employer through the use of credit cards and checks for unauthorized purposes. Martin used personal credit cards belonging to her employer to purchase personal items from

05/02/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DARETH MARTIN (CRD No. 4479899), Respondent. DISCIPLINARY PROCEEDING No. 2009019349301 Hearing Officer - MC ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2009019349301 was filed on March 11,2001, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Dareth Martin submitted an Offer of Settlement (Offer) to

Reference 2009019349301data-portal.finra.orgfinra.orgdata-portal.finra.org