CHARLES C. FAWCETT IV

11/08/2007: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 56770 / November 8, 2007 Admin. Proc. File No. 3-12566 CORRECTED In the Matter of the Application of CHARLES C. FAWCETT, IV c/o Thomas P. Puccio, Esq. Law Offices of Thomas P. Puccio 230 Park Avenue, Suite 301 New York, NY 10169 For Review of Disciplinary Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY PROCEEDING Failure to Provide Requested

05/24/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHARLES C. FAWCETT, IV (CRD No. 1576169) Respondent. Disciplinary Proceeding No. C9A040024 Hearing Panel Decision and Order Granting, in Part, Enforcement's Motion for Summary Disposition Hearing Officer - SW Dated: May 24, 2005 Respondent is barred from associating with any member firm in any capacity for refusing to provide information and refusing to appear for an on-the-record interview, in violation of NASD Procedural

01/08/2007: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Charles C. Fawcett IV Venetia, PA, Respondent Registered representative failed to provide Information and on-the-record testimony requested by NASD staff. Held, Hearing Panel's findings and sanction affirmed. Appearances For the Complainant: Leo F. Orenstein, Esq., Rory C Flynn, Esq., Department of Enforcement, NASD For the Respondent: Thomas P. Puccio, Esq.

Reference C9A20040024data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org