LAWRENCE LABINE

11/22/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Lawrence LaBine, CRD No. 1279935 Disciplinary Proceeding No. E022002051303 Hearing Officer - DMF ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 22, 2005 INTRODUCTION Disciplinary Proceeding No. C3A040045 was filed on December 16, 2004, by the Department of Enforcement of NASD. The Complaint was later amended on April 11, 2005 ("Amended Complaint"). Respondent Lawrence LaBine ("LaBine") submitted an Offer of Settlement ("Offer")

Reference E022002051303finra.orgdata-portal.finra.org

04/08/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Lawrence LaBine, (CRD No. 1279935),Respondent. Disciplinary Proceeding No. 2009019605401 Hearing Officer MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 8, 2016 INTRODUCTION Disciplinary Proceeding No. 2009019605401 was filed on April 28, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Lawrence LaBine submitted an Offer of

04/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. LAWRENCE LABINE (CRD No. 1279935), Respondent. DISCIPLINARY PROCEEDING No. 2009019605401 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Lawrence LaBine, a registered representative, made fraudulent misrepresentations and omissions of material facts and unsuitable recommendations to customers while

Reference 2009019605401data-portal.finra.orgdata-portal.finra.orgfinra.org