ALFRED P. REEVES III

11/05/2015: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 76376 / November 5, 2015 Admin. Proc. File No. 3-16264 In the Matter of the Application of ALFRED P. REEVES, III For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDINGS Principal of former member firm of registered securities association converted funds of his former employer in violation of just and equitable

05/29/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Alfred P. Reeves, III (CRD No. 372836), Respondent. DISCIPLINARY PROCEEDING No. 2011030192201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Alfred P. Reeves, III converted funds of his former employing member firm. RESPONDENT AND JURISDICTION 2. Reeves passed the S00 exam in 1968 and the F04 exam in 1974. He subsequently acquired Series 4, 14, 55, and 63 licenses. 3. Since

10/08/2014: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY ln the Matter of Department of Enforcement, Complainant vs. Alfred P. Reeves, III, Respondent. DECISION Complaint No. 2011030192201, Dated: October 8, 2014 Respondent converted funds from his former employer. Held, findings and sanctions affirmed. Appearances For the Complainant: Leo F. Orenstein, Esq., Michael A. Gross, Esq., and Kathryn M. Wilson, Esg., Department of Enforcement, Financial Industry Regulatory

04/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALFRED P. REEVES III (CRD No. 372836), Respondent. Disciplinary Proceeding No. 2011030192201 Hearing Officer Andrew H. Perkins HEARING PANEL DECISION April 15, 2013 Respondent is barred from associating with any member firm in any capacity for violating FINRA Conduct Rule 2010 by converting funds from his former employer. Respondent also is ordered to pay restitution and the costs of this

Reference 2011030192201data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org