ANDREW G. SPOTTS

01/05/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Andrew G. Spotts (CRD No. 2660556), Respondent. DISCIPLINARY PROCEEDING NO. 20090186618 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From on or about December 2006 through June 2009, Andrew George Spotts ("Spotts" or "Respondent") misappropriated approximately $197,860 from a coworker, DC, at his member firm employer, by taking approximately 83 blank personal checks (the "83

06/09/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANDREW G. SPOTTS (CRD No. 2660556), Respondent. Disciplinary Proceeding No. 20090186618 Hearing Officer - MC DEFAULT DECISION June 9,2011 Respondent is barred from associating with any FINRA member firm in any capacity for misappropriating a co-worker's funds, in violation of NASD Conduct Rule 2110 and FINRA Rule 2010; for forging a co-worker's checks, in violation of NASD Rule 2110 and 2010;

Reference 2009018661801finra.orgdata-portal.finra.orgdata-portal.finra.org