MARK HENRY MAURER CRD# 1496683
Regulatory 02/10/1998
STATE OF NEW HAMPSHIRE BUREAU OF SECURITIES
ONE ALLEGATION OF CONDUCTING ONE SECURITIES TRANSACTION IN NEW HAMPSHIRE WHILE NOT REGISTERED IN NEW HAMPSHIRE.
Dismissed
Broker-Dealer Profiles
LAWRENCE MATHEW SCHULDER CRD# 3010726
Regulatory 06/14/2006
NASD
NASD RULES 2110 AND 3110: RESPONDENT, ACTING ON BEHALF OF THE FIRM, CONDUCTED A SECURITIES BUSINESS WHEN ITS NET CAPITAL FELL BELOW THE MINIMUM AMOUNT REQUIRED UNDER SEC RULE 15C3-1; AND PREPARED INACCURATE NET CAPITAL COMPUTATION.
Acceptance, Waiver & Consent(AWC)
Censure
Civil and Administrative Penalty(ies)/Fine(s)
JOHN JOSEPH CONROY CRD# 3008995 8 Disclosures including the following
Regulatory 11/10/2011
NEW JERSEY BUREAU OF SECURITIES