ANTHONY CLIVE LAZARUS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/21/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Anthony Clive Lazarus (CRD No. 5713015), Respondent. DISCIPLINARY PROCEEDING V. No. 2012031150702 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between March 1, 2011, and December 31, 2011, Respondent Anthony Clive Lazarus converted more than $27,000 from two elderly banking customers by: 1) making online bill payments for his benefit from the bank accounts of those customers
06/24/2014: FINANCIAL INDUSTRY REGULATORY AUTHORNY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANTHONY CLIVE LAZARUS (CRD No. 5713015), Respondent. Disciplinary Proceeding No. 2012031150702 Hearing Officer - MC AMENDED DEFAULT DECISION June 24, 2014 Respondent is barred from associating with any FINRA member firm in any capacity for converting customer funds in violation of FINRA Rule 2010. Appearances Lane A. Thurgood, Esq., Rockville, Maryland, for the Department of
Reference 2012031150702data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5713015 |
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