GERALD J. KESNER

02/26/2010: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Gerald J. Kesner Lakewood, CO, Respondent. DECISION Complaint No. 2005001729501 Dated: February 26,2010 Respondent failed to disclose material information when recommending an investment to customers. Respondent also made an unsuitable recommendation. Held, findings and sanctions affirmed.

03/27/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. GERALD J. KESNER, (CRD NO. 2337113), RESPONDENT, DISCIPLINARY PROCEEDING NO. 2005001729501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Gerald Kesner, a registered representative with Raymond James Financial Services, Inc., presented an investment opportunity to several of his clients involving the purchase of the outstanding shares of a telemarketing company, CT, through the use of

08/15/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY1 OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GERALD J. KESNER (CRD No. 2337113), Respondent. Disciplinary Proceeding No. 2005001729501 Hearing Panel Decision Hearing Officer - SW Dated: August 15,2008 The Hearing Panel bars Respondent from associating with any FINRA member in any capacity for violating: (1) NASD Conduct Rules 2310 and 2110, as set forth

Reference 2005001729501data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org