LAWRENCE GARY KIRSHBAUM

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/30/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE WAIVER AND CONSENT NO. 2006003723101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Prestige Financial Center, Inc. (BD No. 30407) and Lawrence Kirshbaum (CRD No. 270856) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Prestige Financial Center, Inc. ("Prestige" or the "Firm") and Lawrence Kirshbaum ("Kirshbaum") (collectively, the "Respondents") submit this Letter of Acceptance, Waiver and Consent
Reference 2006003723101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/23/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016405902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Prestige Financial Center, Inc., Respondent Member Firm BD No. 30407 Lawrence Gary Kirshbaum, Respondent General Securities Principal, Financial and Operations Principal, Municipal Securities Principal, Government Securities Principal and General Securities Representative CRD No. 270856 Pursuant to FINRA Rule 9216 of FINRA's
Reference 2009016405902data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	270856

Other names1

Also known as1

LAWRENCE KIRSHBAUM

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