ERICA LATISHA TOLBERT

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/30/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ERICA LATISHA TOLBERT (CRD No. 5109478), Respondent. Disciplinary Proceeding No. 2007007580501 Hearing Officer-Andrew H. Perkins DEFAULT DECISION May 30, 2008 Respondent is barred from associating with any member firm for conversion of customer funds, in violation of Conduct Rules 2330(a) and 2110, and for failure
01/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Disciplinary Proceeding No. 2007007580501 Complainant, v. ERICA LATISHA TOLBERT, (CRD No. 5109478) Respondent. COMPLAINT The Department of Enforcement alleges: RESPONDENT 1. Erica Latisha Tolbert ("Tolbert") was associated with FINRA (f/k/a NASD) member E*Trade Securities, LLC ("E*Trade") from March 2006 until December 2006
Reference 2007007580501data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5109478

Other names1

Also known as1

ERICA LATISHIA TOLBERT

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