- 2004
Respondent was a registered representative at East-West Capital Corporation, a wholly-owned subsidiary of MCA Financial Corporation. She knowingly participated in and assisted in the execution of a fraudulent scheme by MCA, including by preparing offering memoranda for MCA’s securities that contained materially false statements, providing false information to broker-dealers, signing cover letters and participating in the issuance of false quarterly account statements and distribution checks to investors. In addition to being barred from the industry, she also was criminally convicted.
