DAVID KRISTIAN EVANSEN

07/27/2015: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 75531 / July 27, 2015 Admin. Proc. File No. 3-15964 In the Matter of the Application of DAVID KRISTIAN EVANSEN For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDINGS Former associated person of former member firm failed to timely respond to association's requests for information and failed to appear and provide testimony

06/03/2014: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. David Kristian Evansen New Lisbon, WI, Respondent. DECISION Complaint No. 2010023724601 Dated: June 3, 2014 Respondent answered FINRA information requests late and failed to appear and provide testimony requested by FINRA in an investigation. Held, findings affirmed and sanctions modified but affirmed in their effect. Appearances For the Complainant:

08/24/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID KRISTIAN EVANSEN (CRD No. 1579910), Respondent. Disciplinary Proceeding No. 2010023724601 Hearing Officer-Andrew H. Perkins DEFAULT DECISION August 24, 2012 Respondent is barred from associating with any FINRA member firm in any capacity for failing to appear for testimony, in violation of FINRA Rules 8210 and 2010. In light of the bar imposed for this violation, no additional sanction is

Reference 2010023724601data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org