HANK MARK WERNER

11/06/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. HANK M. WERNER (CRD No. 1615495), and LEGEND SECURITIES, INC. (BD No. 44952) Respondents. DISCIPLINARY PROCEEDING No. 2015048048801 Hearing officer-MJD EXTENDED HEARING PANEL DECISION

11/06/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Hank M. Werner (CRD No. 1615495), and LEGEND SECURITIES, INC. (BD No. 44952), Respondents. Disciplinary Proceeding No. 2015048048801 Hearing Officer-MJD DEFAULT DECISION November 6, 2017 Respondent Legend Securities, Inc. failed to supervise Respondent Hank M. Werner, who fraudulently churned the accounts of an elderly, blind customer. The Firm also failed to establish

11/30/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Hank M. Werner (CRD No. 1615495), Michael Stanton (CRD No. 1448072), and Legend Securities, Inc. (BD No. 44952), Respondents. DISCIPLINARY PROCEEDING No. 2015048048801 Hearing Officer DRS AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Hank M. Werner enriched himself at the expense of DC, an elderly, blind, and physically disabled customer, by engaging in a

08/01/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Hank M. Werner (CRD No. 1615495), Respondent. DISCIPLINARY PROCEEDING No. 2015048048801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Hank M. Werner enriched himself at the expense of DC, an elderly, blind, and physically disabled customer, by engaging in a manipulative, deceptive and fraudulent scheme pursuant to which he churned each of the three accounts DC

Reference 2015048048801data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org