JOSEPH MIZRACHI

02/10/2005: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. PAZ Securities, Inc. Boca Raton, FL, and Joseph Mizrachi Boca Raton, FL, Respondents. DECISION Complaint No. C07030055 Dated: February 10, 2005 Respondents failed to respond to staff requests for information. Held. Hearing Panel's findings and sanctions are affirmed. Appearances For the Complainant: Joel Beck, Esq.

04/11/2008: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 57656 / April 11,2008 Admin. Proc. File No. 3-11852 In the Matter of the Application of PAZ SECURITIES, INC. and JOSEPH MIZRACHI For Review of Disciplinary Action Taken by NASD I OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDING Reconsideration of Sanctions Pursuant to Remand

05/29/2009: United States Court of Appeals FOR THE DISTRICT OF COLUMBIA CIRCUIT Argued December 12, 2008 Decided May 29, 2009 No. 08-1188 PAZ SECURITIES, INC. AND JOSEPH MIZRACHI, PETITIONERS v. SECURITIES AND EXCHANGE COMMISSION, RESPONDENT On Petition for Review of an Order of the Securities & Exchange Commission David Clarke Jr. argued the cause and filed the briefs for petitioners.

Reference C07030055data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org