DAVID S. ISOLANO

12/07/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. MAX INTERNATIONAL BROKER-DEALER, CORP. (BD No. 46039), AND DAVID S. ISOLANO (CRD No. 2504880), RESPONDENTS. DISCIPLINARY PROCEEDING No. 20070072538-03 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Max International Broker-Dealer, Corp. ("Max" or the ''firm") is an SEC registered broker-dealer and FINRA member firm located in New York City. During 2005 and 2006, the

12/10/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. MAX INTERNATIONAL BROKER-DEALER, CORP. (BD No. 46039), AND DAVID S. ISOLANO (CRD No. 2504880), RESPONDENTS. Disciplinary Proceeding No. 20070072538-03 Hearing Officer MC Date: December 10, 2010 ORDER ACCEPTING OFFER OF SETTLEMENT [Corrected] INTRODUCTION Disciplinary Proceeding No. 20070072538-03 was filed on December 7, 2009, by the Department of Enforcement of the Financial Industry Regulatory

Reference 2007007253803finra.orgdata-portal.finra.orgdata-portal.finra.org

11/06/2012: LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20090198033-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: David S. Isolano, Respondent General Sprites Representative CRD No. 2504880 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, David S. Isolano ("Isolano" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

Reference 2009019803302data-portal.finra.orgfinra.org