Lawrence Roger Rice

Lawrence Roger Rice has submitted a Letter of Acceptance, Waiver, and Consent (AWC) to settle allegations of violating FINRA rules. The AWC proposes that, if accepted, FINRA will not pursue further actions against Rice based on the same facts. Rice, who was registered with FINRA as a General Securities Representative through Centaurns Financial until February 2024, failed to provide documents and information requested by FINRA, violating FINRA Rules 8210 and 2010. In response, Rice agrees to be barred from associating with any FINRA member, acknowledges the sanction may trigger statutory disqualification, and waives various procedural rights including the right to a formal complaint, a hearing, and appeals. He also waives claims of bias or procedural violations related to the AWC process. The AWC will be part of Rice’s permanent disciplinary record if accepted, and he agrees not to publicly deny any findings or make statements inconsistent with the AWC. The AWC will become effective upon FINRA’s approval.