FINRA

Without admitting or denying the findings, Larson consented to the sanction and to the entry of findings that he refused to provide information and documents as requested by FINRA in connection with FINRA's investigation into allegations that were filed by his member firm on a Form U5 terminating Larson's registration. The findings stated that the firm filing stated that Larson was permitted to resign during an investigation related to irregularities in expense reports submitted through the company's expense reimbursement process.

Acceptance, Waiver & Consent(AWC)

Bar (Permanent)

all capacities

indefinite

10/27/2017

Ivy Distributors, Inc

Permitted to Resign

RR resigned during investigation into irregularities in expense reports submitted through the Company's expense reimbursement process, including discrepancies in vendors submitted for expense reimbursement payments and expense reimbursement payments related to accounts that appear to be held in the name of RR and/or a related party. Investigation identified violation of Company policies, including but not limited to policies on Professional Conduct, Corporate Code of Conduct, Corporate Credit Card Policy, and Employee Travel & Expense Policy. No firm clients involved in activity.

THEFT $200-$750 CHECK

Dismissed

I WAS ADDED AS A SIGNOR ON A BANK ACCOUNT OUT OF CONVENIENCE FOR THE OWNER. HE WROTE A BAD CHECK AND LEFT TOWN.