FLORENCE SARAH POLLARD

09/09/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. William Bailey (CRD No. 1085215), Respondent. DISCIPLINARY PROCEEDING No. 2006007058102 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: OVERVIEW 1. Between January 1, 2006 and December 31, 2007, Respondent William Bailey, a Mesa, Arizona-based registered representative at Next Financial Group, Inc., made fraudulent and unsuitable mutual fund and variable annuity switch

Reference 2006007058102data-portal.finra.orgfinra.org

06/28/2007: UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Rel. No. 55978 / June 28, 2007 Admin. Proc. File No. 3-12482 In the Matter of the Application of FLORENCE SARAH POLLARD c/o McColloch & Campitiello, LLP 5900 LaPlace Court, Suite 100 Carlsbad, California 92008 For Review of Disciplinary Action Taken by NASD ORDER DISMISSING APPEAL Florence Sarah Pollard, formerly a registered representative at Equitrade Securities Corporation ("Equitrade")

09/18/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FLORENCE SARAH POLLARD (CRD No. 2208895), Respondent. Disciplinary Proceeding No. CAF030042 REMAND HEARING PANEL DECISION Hearing Officer-SW Date: September 18, 2006 The National Adjudicatory Council ruled on appeal that Pollard violated NASD Conduct Rules 2460 and 2110, which prohibit the receipt of consideration for filing Form 211 applications. After the National Adjudicatory Council remanded the case to the Hearing

Reference CAF030042data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org