JOSEPH S. AMUNDSEN

12/30/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOSEPH S. AMUNDSEN (CRD No. 4728125) Respondent. Disciplinary Proceeding No. 2010021916601 Hearing Officer - RSH HEARING PANEL DECISION December 30, 2011 Respondent violated NASD Rule 2110 and IM-1000-1, and FINRA Rules 1122 and 2010 by willfully failing to disclose, on 36 Forms U4, an SEC injunction against him and the revocation of his accountant's license. For this violation, the Respondent was

09/20/2012: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Joseph S. Amundsen Easton, PA, Respondent. DECISION Complaint No. 2010021916601 Dated: September 20, 2012 Respondent willfully failed to disclose material information on 36 Forms U4. Held, findings and sanctions affirmed. Appearances For the Complainant: Thomas M. Huber, Esq., Leo F. Orenstein, Esq., Department of Enforcement, Financial Industry Regulatory Authority

04/18/2013: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 69406 / April 18, 2013 Admin. Proc. File No. 3-15056 In the Matter of the Application of JOSEPH S. AMUNDSEN 3537 Chain Dam Road Easton, PA 18045 For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF DISCIPLINARY PROCEEDINGS Violations of Membership and Conduct Rules Misstatements and Omissions on Form U4 Applicant, a registered representative of

Reference 2010021916601data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org