HARRY WARD HUNT

10/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HARRY W. HUNT (CRD No. 1144385), Respondent. Disciplinary Proceeding No. 2009018068701 Hearing Officer - MAD HEARING PANEL DECISION October 17, 2011 Respondent violated FINRA Conduct Rule 2010 by using the name, address, and social security number of a customer to cosign a student loan for his daughter without the customer's knowledge or authorization. Respondent also violated FINRA Conduct Rule

12/18/2012: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Harry W. Hunt Medina, MN, Respondent. DECISION Complaint No. 2009018068701 Dated: December 18, 2012 Respondent used the name, address, and social security number of a customer to make the customer a guarantor of a student loan without the customer's knowledge or authorization. Respondent also submitted false expense reports to his firm. For these violations

Reference 2009018068701data-portal.finra.orgdata-portal.finra.orgfinra.org

07/06/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Harry Ward Hunt CRD No. 1144385), Respondent. Disciplinary Proceeding No. 2010020803402 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between June 1, 2009 and May 31,2010, Harry Ward Hunt violated NASD Conduct Rule 2310 and FINRA Rule 2010 by engaging in excessive and quantitatively unsuitable trading in the brokerage accounts of four customers

Reference 2010020803402data-portal.finra.orgfinra.org