SIAN ALISON HARARI

03/09/2015: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. David Harari San Antonio, TX, and Sian Harari San Antonio, TX, Respondents. Complaint No. 2011025899601 Dated: March 9, 2015 Registered representative provided false information and documentation to FINRA and a FINRA member firm, obtained customer funds by false pretenses and converted those funds, and failed to disclose tax liens on his Form U4. Associated person

03/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID HARARI (CRD No. 4094088) and SIAN HARARI (CRD No. 4617506), Respondents. Disciplinary Proceeding No. 2011025899601 Hearing Officer - RLP HEARING PANEL DECISION March 28, 2014 Respondent David Harari is barred from associating with any FINRA member firm in any capacity for providing false information and documentation to FINRA and a FINRA member firm, in violation of FINRA Rules 8210 and 2010.

Reference 2011025899601data-portal.finra.orgfinra.orgdata-portal.finra.org