DULCE MARIA SALAVERRIA

03/04/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DULCE MARIA SALAVERRIA (CRD No. 4724934), Respondent. Disciplinary Proceeding No. C07040077 Hearing Officer - DRP DEFAULT DECISION March 4, 2005 For falsifying a document, in violation of NASD Conduct Rule 2110, Respondent is barred from associating with any NASD member in any capacity. Appearances Joel R. Beck, Esq., Atlanta, GA (Rory C. Flynn, Esq., Washington DC, Of Counsel)

12/12/2005: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant vs. Dnlce Maria Salaverria, Maracaibo, Venezuela, Respondent DECISION Coirmlaint No. C07040077 Dated: December 12, 2005 Respondent knowingly provided member firm falsified results of her Series 7 securities registration examination. Held. Hearing Officer's finding of violation and sanctions are affirmed. Appearances For the

Reference C07040077data-portal.finra.orgfinra.orgdata-portal.finra.org