Matthew David Rubin

12/14/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Matthew David Rubin (CRD No. 4869755), Respondent. DISCIPLINARY PROCEEDING No. 2012033832501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between March 2, 2012 and June 13, 2012 (the "Relevant Period"), while registered as a General Securities Representative ("GSR") through his association with Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill" or the "Firm")

10/03/2018: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Matthew David Rubin Wayne, NJ, Respondent. DECISION Complaint No. 2012033832501 Dated October 3, 2018 Registered representative unethically financed his securities trading and violated the federal securities laws and FINRA rules concerning the extension of credit and margin requirements. Held, findings and sanction affirmed. Appearances

12/14/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MATTHEW DAVID RUBIN (CRD No. 4869755), Respondent. Disciplinary Proceeding No. 2012033832501 Hearing Officer - MAD EXTENDED HEARING PANEL DECISION December 14, 2016 Respondent Matthew David Rubin violated FlNRA Rule 2010 by initiating 12 unfunded automated clearinghouse requests for electronic fund transfers from his personal bank account to his brokerage account to create the false

Reference 2012033832501data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org