J. Michael Casas

10/06/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. J. MICHAEL CASAS (CRD # 4422064), RESPONDENT. DISCIPLINARY PROCEEDING No. 2013036799501 HEARING OFFICER:__ COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2012 through September 2012 (the "Relevant Time Period"), Respondent J. Michael Casas intentionally made material misrepresentations to induce two individuals to invest a total of $83,066.41

10/02/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. J. MICHAEL CASAS (CRD No. 4422064), Respondent. Disciplinary Proceeding No. 2013036799501 Hearing Officer-MAD EXTENDED HEARING PANEL DECISION October 2, 2015 Respondent J. Michael Casas (1) willfully violated Securities Exchange Act of 1934, Section 10(b), Rule 10b-5 thereunder, and FINRA Rules 2020 and 2010, by fraudulently selling securities issued by his company on the basis of false

01/13/2017: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY ln the Matter of Department of Enforcement, Complainant, vs. J. Michael Casas San Antonio, TX, Respondent. DECISION Complaint No. 2013036799501 Dated: January 13, 2017 Respondent converted customer funds and engaged in securities fraud. Held, findings and sanctions affirmed. For the Complainant: Leo F. Orenstein, Esq., and Michael P. Manly, Esq., Department of Enforcement, Financial Industry Regulatory Authority

Reference 2013036799501data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org