WILLIAM A. MALLOY

10/11/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. WILLIAM A. MALLOY (CRD No. 1492864), Respondent. Disciplinary Proceeding No. ELI2004008101 Hearing Officer-RSH DEFAULT DECISION October 11, 2006 Respondent violated NASD Conduct Rules 3050(c) and 2110 by making trades in a securities account without notifying his member firm; Conduct Rules 2330(f) and 2110 by sharing in the profits of a customer's account; Conduct Rules 2120, 2310 (a) and 2110 by sharing in the profits of a

05/15/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILLIAM A. MALLOY (CRD No. 1492864), Respondent. Disciplinary Proceeding No. ELI2004008101 Hearing Officer - Upon information and belief, the Department of Enforcement alleges that: JURISDICTION 1. Respondent William A. Malloy ("Respondent") first became registered with NASD, as a General Securities Representative ("GSR"), on approximately May 17, 1986. 2. Respondent was registered with Delta Asset Management, LLC ("Delta") during

Reference ELI2004008101data-portal.finra.orgdata-portal.finra.orgfinra.org

09/19/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND COSENT MARKET REGULATION DEPARTMENT TO: Market Regulation Department NASD RE: William Malloy (CRD 1492864) Pursuant to Rule 9216 of the NASD Code of Procedure, William Malloy ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on

Reference 2005000028602data-portal.finra.orgfinra.org