JASON MATTHEW PENNINGTON

05/04/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JASON MATTHEW PENNINGTON (CRD No. 2522216), Respondent. Disciplinary Proceeding No. 2010023483501 Hearing Officer-SNB DEFAULT DECISION May 4, 2012 Respondent is barred from associating with any FINRA member firm in any capacity for falsifying documents and converting customer funds, in violation of FINRA Rule 2010, and failing to respond to requests for information, in violation of FINRA Rules 8210

Reference 2010023483501data-portal.finra.orgfinra.org

12/12/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jason M. Pennington (CRD No. 2522216), Respondent. DISCIPLINARY PROCEEDING No. 2010023483501 AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Jason M. Pennington, serving as a trustee, gave falsified trust documents to Trust beneficiaries to hide the fact that he had converted trust funds for his personal use. In addition, Respondent failed to respond to FINRA staff's

12/12/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jason M. Pennington (CRD No. 2522216), Respondent. DISCIPLINARY PROCEEDING No. 2010023483501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Jason M. Pennington, serving as a trustee, gave falsified trust documents to Trust beneficiaries to hide the fact that he had converted trust funds for his personal use. In addition, Respondent failed to respond to FINRA staff's Rule 8210

Reference 2010023483501data-portal.finra.orgdata-portal.finra.orgfinra.org