NOTE: Stipulations of Fact and Consent to Penalty (SFC); Offers of Settlement (OS); and Letters of Acceptance Waiver, and Consent (AWC) are entered into by Respondents without admitting or denying the allegations, but consent is given to the described sanctions & to the entry of findings. Additionally, for AWCs, if FINRA has reason to believe a violation has occurred and the member or associated person does not dispute the violation, FINRA may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing before a hearing panel, and any right of appeal to the National Adjudicatory Council, the SEC, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. The letter shall describe the act or practice engaged in or omitted, the rule, regulation, or statutory provision violated, and the sanction or sanctions to be imposed.

Jamie Sutton Hardy
AWC/2009018407601

Associated Person Hardy misappropriated $33,445.82 from her supervisor’s personal checking account for her own personal use. Hardy misappropriated her supervisor’s money by writing checks to herself as reimbursement for expenses her office never actually incurred. She misappropriated approximately $2,000 in cash a third party made to her supervisor. Hardy admitted to misappropriating the funds and paid $32,000 back to her supervisor in restitution, and the firm terminated her employment.

Jamie Sutton Hardy : Barred

Tags: Check  Expenses