ANDREW J. HARDIN

03/08/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANDREW J. HARDIN (CRD No. 4534287) Respondent. Disciplinary Proceeding No. E072004072501 Hearing Officer - ERRATA COMPLAINT Upon information and belief, Complainant alleges as follows: RESPONDENT 1. Andrew J. Hardin ("Hardin") entered the securities industry in about July 2002, as a general securities representative registered by NASD member Edward Jones. He was employed by Edward Jones until September 2004. Hardin is currently

07/27/2007: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Andrew J. Hardin Greenville, South Carolina, Respondent. DECISION Complaint No. E072004072501 Dated: July 27, 2007 Respondent exercised discretion in a customer account without having prior written authorization and parked certificates of deposit in the account and made false representations to his firm regarding the reasons for purchasing the certificates of deposit. Held, Hearing Panel's findings and

09/08/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANDREW J. HARDIN (CRD No. 4534287), Respondent. Disciplinary Proceeding No. E072004072501 Hearing Officer - AWH HEARING PANEL DECISION September 8, 2006 Registered representative exercised discretion in the account of a customer without written authority, parked certificates of deposit in that account, and misrepresented reasons for purchasing the certificates of deposit in that account. Respondent self-reported the violation; there

Reference E072004072501data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org