NEFTALI MERCEDES

11/16/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, and NEFTALI MERCEDES (CRD No. 3201827), Respondents. Disciplinary Proceeding No. 2008011743303 Hearing Officer - MAD DEFAULT DECISION November 16, 2012 and NEFTALI MERCEDES (CRD No. 3201827), Respondents. For willfully violating Section 10(b) of the Securities Exchange Act of 1934, Exchange Act Rule 10b-5, NASD Conduct Rules 2120 and 2110,

05/31/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, Neftali Mercedes (CRD No. 3201827), Respondents. DISCIPLINARY PROCEEDING NO. 2008011743303 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From September 2007 to December 2009 (the relevant time period), or "the Firm") and several individuals associated with the Firm engaged in a host of

Reference 2008011743303data-portal.finra.orgdata-portal.finra.orgfinra.org

10/19/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. NEFTALI MERCEDES (CRD No. 3201827), Respondent. Disciplinary Proceeding No. 2009018755601 Hearing Officer – AWL DEFAULT DECISION October 19, 2012 Respondent is barred from associating with any FINRA member firm in any capacity for failing to respond to requests for information, in violation of FINRA Rules 8210 and 2010.

Reference 2009018755601data-portal.finra.orgfinra.org