JOHN JOSEPH PLUNKETT

09/16/2014: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 73124 / September 16, 2014 Admin. Proc. File No. 3-14810r In the Matter of the Application of JOHN JOSEPH PLUNKETT 476 16th Street Brooklyn, NY 11215 For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY PROCEEDINGS Sanctions Imposed by Registered Securities Association on Remand On remand, registered securities association modified

01/04/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN JOSEPH PLUNKETT (CRD No. 2321368), Respondent. Disciplinary Proceeding No. 20060052598-01 Hearing Officer-LBB AMENDED HEARING PANEL DECISION January 4, 2011 Respondent John Joseph Plunkett is suspended for two years and fined $20,000 for taking his firm's books and records at the time of his resignation from the firm, in violation of NASD Conduct Rule 2110. Respondent is suspended for an

06/14/2013: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 69766 / June 14, 2013 Admin. Proc. File No. 3-14810 In the Matter of the Application of JOHN JOSEPH PLUNKETT 476 16th Street Brooklyn, NY 11215 For Review of Disciplinary Action Taken by Financial Industry Regulatory Authority, Inc. OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF DISCIPLINARY PROCEEDINGS Conduct Inconsistent with Just and Equitable Principles of Trade Failure to Provide

12/17/2013: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY ln the Matter of Department of Enforcement, Complainant, vs. John Joseph Plunkett Brooklyn, NY, Respondent. DECISION Complaint No. 2006005259801 Dated: December 17, 2013 On remand from the Securities and Exchange Commission for reconsideration of sanctions. Held, sanctions modified. Appearances For the Complainant: Elisa Meth Kestin, Esq., Leo F. Orenstein, Esq., Department of Enforcement, Financial Industry Regulatory

02/21/2012: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. John Joseph Plunkett Brooklyn, NY, Respondent. DECISION Complaint No. 2006005259801 Dated: February 21, 2012 Respondent removed his firm's books and records, erased the firm's electronic files and computer servers, and failed to respond to FINRA requests for information and documents. Held, findings affirmed and sanctions modified. Appearances For the Complainant:

Reference 2006005259801data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org