JOHN EDWARD MULLINS

12/06/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. Disciplinary Proceeding Nos. 20070094345 JOHN EDWARD MULLINS (CRD No. 20070111775 1007176) AND Hearing Officer: Andrew H. Perkins KATHLEEN MARIA MULLINS (CRD No. 2790621). RESPONDENTS. AMENDED COMPLAINT The Department ofEnforcement alleges: OVERVIEW 1. Between approximately June 2002 and May 2007 (the "Relevant Period"), registered representative John Edward Mullins ("J. Mullins"),

08/25/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, Disciplinary Proceeding Nos. 20070094345 20070111775 v. JOHN EDWARD MULLINS (CRD No. 1007176), Hearing Officer - MC HEARING PANEL DECISION and August 25,2009 KATHLEEN MARIA MULLINS (CRD No. 2790621), Respondents. Respondent John Edward Mullins ("M. Mullins'') is barred from associating with any FINRA member firm

02/24/2011: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, DECISION Complainant, Complaint Nos. 20070094345 20070111775 vs. Dated: February 24, 2011 John Edward Mullins Margate, NJ, and Kathleen Maria Mullins Margate, NJ, Respondents. Respondent John Mullins converted and misused customer funds and breached his fiduciary obligations as an officer and trustee

02/10/2012: SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. SECURITIES EXCHANGE ACT of 1934. Rel. No. 66373 / February 10, 2012 Admin. Proc. File No. 3-14302 In the Matter of the Application of JOHN EDWARD MULLINS and KATHLEEN MARIA MULLINS 510 North Thurlow Avenue Margate, NJ 08402 For Review of Disciplinary Action Taken by OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDINGS Conversion of Customer Property Breach of Fiduciary Duty to Customer Borrowing Funds from a

Reference 2007011177501data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org

12/06/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. JOHN EDWARD MULLINS (CRD No.1007176) AND KATHLEEN MARIA MULLINS (CRD No. 2790621). RESPONDENTS. Disciplinary Proceeding Nos. 20070094345, 20070111775. Hearing Officer: Andrew H. Perkins. AMENDED COMPLAINT. The Department of Enforcement alleges: OVERVIEW. 1. Between approximately June 2002 and May 2007 (the "Relevant Period"), registered representative John Edward Mullins ("J. Mullins"

08/25/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN EDWARD MULLINS (CRD No. 1007176), and KATHLEEN MARIA MULLINS (CRD No. 2790621), Respondents. Disciplinary Proceeding Nos. 20070094345 20070111775 Hearing Officer - MC HEARING PANEL DECISION August 25, 2009 Respondent John Edward Mullins ("J. Mullins") is barred from associating with any FINRA member firm in any capacity for misusing customer funds, in violation of Conduct Rules 2110 and

Reference 2007009434501data-portal.finra.orgdata-portal.finra.orgfinra.org