DENISE M OLSON

05/09/2014: BEFORE THE BOARD OF GOVERNORS FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Denise M. Olson Lakeville, MN, Respondent. DECISION Complaint No. 2010023349601 Dated: May 9, 2014 Respondent submitted a false expense report and converted firm funds. Held, findings and sanction affirmed. Appearances For the Complainant: Jonathan Golomb, Esq., Christopher Perrin, Esq., Daniel Gardner, Esq., Department of Enforcement, Financial Industry Regulatory

09/03/2015: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 75838 / September 3, 2015 Admin. Proc. File No. 3-15916 In the Matter of the Application of DENISE M. OLSON c/o Bruce M. Bettigole, Esq. Sutherland Asbill & Brennan LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY PROCEEDINGS Conversion of firm funds Associated person

01/04/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DENISE M. OLSON (CRD No. 2190824), Respondent. Disciplinary Proceeding No. 2010023349601 Hearing Officer - MAD HEARING PANEL DECISION January 4, 2013 Respondent is barred from associating with any member in any capacity for converting firm funds by falsifying an expense report, in violation of FINRA Conduct Rule 2010. One panelist dissented as to the sanction. Appearances For the Complainant:

05/09/2014: BEFORE THE BOARD OF GOVERNORS FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Denise M. Olson Lakeville, MN, Respondent. DECISION Complaint No. 2010023349601 Dated: May 9, 2014 Respondent submitted a false expense report and converted firm funds. Held, findings and sanction affirmed. Appearances For the Complainant: Johnathan Golomb, Esq., Chirstopher Perrin, Esq., Daniel Gardner, Esq., Department of Enforcement, Financial Industry Regulatory Authority

Reference 2010023349601data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org