DIANA ELIZABETH ANDERSON

DIANA ELIZABETH ANDERSON is currently employed as a Broker and/or Investment Adviser at BRIGHT TRADING, LLC located at 4850 HARRISON DRIVE, LAS VEGAS, NV, 89121.

DIANA ELIZABETH ANDERSON has worked at BRIGHT TRADING, LLC since April 01, 2008

Disclosure History

DIANA ELIZABETH ANDERSON has 1 Disclosure Event(s).

Date: January 21, 2016
Category: Regulatory
Initiated By: Chicago Stock Exchange
Allegations: Diana E. Anderson and Bright Trading, LLC violated CHX Article 6, Rule 5(b) when, from on or about April 2008 to April 2014, they permitted a total of six traders to engage in activities which required securities registration while their registrations were inactive for failing to complete their Continuing Education requirements, and they failed to ensure that five traders had completed fingerprint cards and filed them with Web CRD for a number of years while permitting them to engage in activities which required securities registration.
Resolution: Decision & Order of Offer of Settlement SanctionDetails:
Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails:
Amount: $20,000.00
Broker Comment: Fine was issued jointly and severally against Anderson and Firm. Firm paid fine. Violations related to the conversion from manual paper submission of registration materials to the CHX to the Web CRD system.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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