Tsarina Lau Branyan (CRD #5628096, Registered Representative, Huntington Beach, California)
has been fined $7500.00 and was suspended from associating with FINRA members in any capacity for 20 business days.
This fine is payable when Branyan re-enters the securities industry. These sanctions were based on FINRA's findings that Branyan sold, or participated in the sales of, securities without being registered.
The findings stated that Branyan did not hold any FINRA licenses when she sold or participated in the sale of approximately $1 million of private placement securities to customers.
The suspension was in effect from May 7, 2012, through June 4, 2012.
(FINRA Case #2010022715608)
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