Louis Ottimo

03/27/2020: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Louis Ottimo, Syosset, NY, Respondent. DECISION Complaint No. 2009017440201r Dated: March 27, 2020 On remand from the Securities and Exchange Commission for reconsideration of sanctions. Held, sanctions reaffirmed.

Reference 2009017440201rdata-portal.finra.orgfinra.org

07/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. LOUIS OTTIMO (CRD No. 2606438), Respondent. Disciplinary Proceeding No. 2009017440201 Hearing Officer-MAD EXTENDED HEARING PANEL DECISION July 10, 2015 Respondent fraudulently omitted to disclose material information in a personal biography that was included in a Private Placement Memorandum for the sale of securities, in violation of Section 10(b) of the Securities Exchange Act of 1934,

03/15/2017: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Louis Ottimo, Syosset, NY, Respondent. DECISION Complaint No. 2009017440201 Dated: March 15, 2017 Respondent fraudulently omitted material information in his personal biography in a private placement memorandum and willfully failed to disclose timely on the Uniform Application for Securities Industry Registration or Transfer form unsatisfied tax liens, judgments,

06/22/2022: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 95141 / June 22, 2022 Admin. Proc. File No. 3-17930r In the Matter of the Application of LOUIS OTTIMO For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION — REVIEW OF DISCIPLINARY PROCEEDING On remand for reconsideration of sanctions, FINRA barred former registered representative of former FINRA member firm from association with any FINRA member in all capacities.

06/28/2018: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 83555/June 28, 2018 Admin. Proc. File No. 3-17930 In the Matter of the Application of LOUIS OTTIMO For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDINGS Former registered representative of former FINRA member firm appeals from FINRA disciplinary action funding that he

08/26/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department Of Enforcement, Complainant, V. Louis Ottimo (CRD No. 2606438), Respondent. Disciplinary Proceeding No. 2009017440201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 9, 2009 to April 19, 2012, Ottimo willfully failed to disclose or timely and accurately disclose on his Uniform Application for Securities Industry Registration or Transfer ("Form U4") numerous liens and judgments and a bankruptcy

Reference 2009017440201data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org