Nancy Kimball Mellon

10/18/2022: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Nancy Kimball Mellon, Tampa, FL, Respondent. DECISION Complaint No. 2017052760001 Dated: October 18, 2022 Respondent converted funds from her firm, filed false expense reports that caused her firm to maintain inaccurate books and records, failed to respond truthfully to FINRA’s requests for information and documents. Held, findings and sanctions affirmed.

05/31/2023: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 97623 / May 31, 2023 Admin. Proc. File No. 3-21267 In the Matter of the Application of Nancy Kimball Mellon For Review of Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION — REVIEW OF FINRA ACTION Former registered representative of FINRA member firm filed an application for review of FINRA action barring her from association with any FINRA member. Held, application for review is dismissed as untimely. APPEARANCES: Nancy Kimball Mellon,

07/11/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. NANCY KIMBALL MELLON (CRD No. 1253484), Respondent. DISCIPLINARY PROCEEDING NO. 2017052760001 Hearing Officer-MJD HEARING PANEL DECISION Date: July 11, 2019 Respondent converted $4,300 from her employer firm by submitting false expense reports, causing the firm to maintain inaccurate books and records.

11/09/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Nancy Kimball Mellon (CRD No. 1253484), Respondent. Disciplinary Proceeding No. 2017052760001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between January 2016 and July 2016 (the "Relevant Period"), while registered with FINRA through member firm Wells Fargo Clearing Services, LLC (f/k/a Wells Fargo

Reference 2017052760001data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org