SCOTT EPSTEIN

12/20/2007: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Scott Epstein Marlboro, NJ, Respondent. DECISION Complaint No. C9B040098 Dated: December 20, 2007 Decision Scott Epstein ("Epstein") appeals an October 31, 2005 Hearing Panel decision under NASD Rule 9311. After a thorough review of the record, we affirm the Hearing Panel's findings that Epstein made unsuitable mutual fund switch recommendations to customers. We also

01/30/2009: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 59328 / January 30, 2009 Admin. Proc. File No. 3-12933 In the Matter of the Application of SCOTT EPSTEIN c/o George L. Mahr, II Mahr and Mahr, LLC 80 Main Street P.O. Box 534 Madison, NJ 07940 For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDING Unsuitable Recommendations Former registered representative of member firm of

11/23/2010: NOT PRECEDENTIAL UNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT No. 09-1550 SCOTT EPSTEIN, Petitioner v. SECURITIES EXCHANGE COMMISSION, Respondent APPEAL FROM THE SECURITIES EXCHANGE COMMISSION (Admin. Proc. File No. 3-12933) Secretary Elizabeth M. Murphy Submitted Under Third Circuit LAR 34.1(a) October 20, 2010 Before: HARDIMAN, GREENAWAY, JR., and NYGAARD, Circuit Judges (Opinion Filed: November 23, 2010) OPINION GREENWAY, JR., Circuit Judge Scott Epstein ("Espstein") appeals the Securities

Reference C9B20040098data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org

12/20/2007: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the matter of Department of Enforcement, Complainant, vs. Scott Epstein Marlboro, NJ, Respondent. DECISION Complaint No. C9B040098 Dated: December 20, 2007 Decision Scott Epstein ("Epstein") appeals an October 31, 2005 Hearing Panel decision under NASD Rule 9311. After a thorough review of the record, we affirm the Hearing Panel's findings that Epstein made unsuitable mutual fund switch recommendations to customers.

10/31/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. SCOTT EPSTEIN (CRD No. 4268699) Respondent. Disciplinary Proceeding No. C9B040098 Hearing Officer - AWH HEARING PANEL DECISION October 31, 2005 Registered representative barred from associating with any member firm in any capacity for making unsuitable mutual fund switch recommendations to customers, in violation of NASD Conduct Rules 2110, 2310, and IM-2310-2; and, in connection with those transactions, making material

Reference C9B040098data-portal.finra.orgdata-portal.finra.orgfinra.org