November 19, 2014-Dallas, The Woodlands, TX
Laradorbecker Securities Corporation & Cindy Leah Hanerhoff , its president and chief compliance officer, entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that they permitted an individual, who had been suspended in her capacity as a FINOP to act as its FINOP throughout the individual’s suspension.
Laradorbecker was censured and fined $10,000. Hanerhoff was suspended from working in a principal capacity for a month and fined $10,000,
Case # 2013036030001
Laradorbecker Securities has been registered with FINRA since 2001 and is headquartered in The Woodlands, Texas. Laradorbecker is approved to conduct business in corporate debt securities, over-the-counter securities, U.S. government securities. mutual funds. and variable contracts. Thefirm is also approved to engage in proprietary trading and underwriting services.
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