ANDREW P. GONCHAR

08/14/2009: SECURITIES AND EXCHANGE COMMISSION Washington D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 60506 / August 14, 2009 Admin. Proc. File No. 3-13243 In the Matter of the Application of ANDREW P. GONCHAR and POLYVIOS T. POLYVIOU c/o Martin H. Kaplan, Esq. Gusrae, Kaplan, Bruno & Nusbaum PLLC 120 Wall Street New York, New York 10005 For Review of Disciplinary Action by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCLIPLINARY PROCEEDINGS Violations of Securities Laws and Conduct

10/08/2009: 09-4215-ag Gonchar v. Securities and Exchange Commission UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT SUMMARY ORDER RULINGS BY SUMMARY ORDER DO NOT HAVE PRECEDENTIAL EFFECT. CITATION TO A SUMMARY ORDER FILED ON OR AFTER JANUARY 1,2007, IS PERMITTED AND IS GOVERNED BY FEDERAL RULE OF APPELLATE PROCEDURE 32.1 AND THIS COURT'S LOCAL RULE 32.1.1. WHEN CITING A SUMMARY ORDER IN A DOCUMENT FILED WITH THIS COURT, A PARTY MUST CITE EITHER THE FEDERAL APPENDIX OR AN ELECTRONIC DATABASE (WITH THE NOTATION

10/26/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANDREW P. GONCHAR (CRD No. 1659516) and POLYVIOS T. POLYVIOU (CRD No. 1659532), Respondents. Disciplinary Proceeding No. CAF040058 Hearing Officer -DRP EXTENDED HEARING PANEL DECISION October 26, 2006 Respondents violated: (i) Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder and NASD Conduct Rules 2120 and 2110 by fraudulently interpositioning a third-party between their member firm and 71

Reference CAF20040058data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org

08/27/2008: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Andrew Gonchar Staten Island, NY, and Polyvios Polyviou Upper Saddle River, NJ, Respondents. DECISION Complaint No. CAF040058 Dated: August 26, 2008 Registered representatives fraudulently interpositioned a third party between their member firm and 71 retail customers in 142 trades and charged the customers fraudulently excessive mark-ups that they failed to disclose

Reference CAF20040058data-portal.finra.orgfinra.org