NATHAN JAMES LORNE

02/15/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. NATHAN LORNE CRD No. 3277561 Respondent. Disciplinary Proceeding No. 2006005523401 Hearing Officer COMPLAINT The Department of Enforcement alleges: 1. Respondent Nathan Lome (Lome) was associated with member firm Waddell & Reed, Inc. from on or about February 12, 2003 through on or about June 5, 2006, where he was registered as a General Securities Representative. From on or about June 27, 2006

02/10/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. NATHAN LORNE (CRD No. 3277561), Respondent. Disciplinary Proceeding No. 2006005523401 Hearing Officer - LBB HEARING PANEL DECISION February 10, 2009 Respondent is barred from associating with any FINRA member firm for converting funds from an organization of which he was treasurer, in violation of Conduct Rule 2110. Respondent is also assessed costs. In light of the bar, no additional sanctions are

Reference 2006005523401data-portal.finra.orgdata-portal.finra.orgfinra.org