JERRY WILLIAM BURCH

09/27/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. JERRY W. BURCH (CRD 1450138) Respondent. DISCIPLINARY PROCEEDING No. 2005000324301 HEARING OFFICER: COMPLAINT On information and belief, the Department of Market Regulation alleges: Summary 1. Respondent Jerry W. Burch failed to disclose to his member firm that TDB Capital, his wife's new corporation, had opened a securities account at another broker-dealer and deposited a block of Dogs

Reference 2005000324301finra.orgdata-portal.finra.org

07/28/2011: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Market Regulation, Complainant, vs. Jerry William Burch Newport Coast, CA, Respondent. DECISION Complaint No. 2005000324301 Dated: July 28, 2011 Respondent failed to disclose material information when recommending an investment to customers, falsely represented to his firm that customer purchases were unsolicited, and failed to amend his Form U4 to disclose a FINRA Wells notice. Held, findings and

06/02/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. JERRY WILLIAM BURCH (CRD No. 1450138), Respondent. Disciplinary Proceeding No. 2005000324301 HEARING PANEL DECISION Hearing Officer - SNB June 2, 2009 Respondent is barred for (1) making recommendations to customers to purchase stock without disclosing that his wife's account was simultaneously selling the same stock, in violation of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder

Reference 2005000324301data-portal.finra.orgdata-portal.finra.orgfinra.org