DALE R. MENENDEZ

10/07/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DALE R. MENENDEZ (CRD No. 4880000), Respondent. DISCIPLINARY PROCEEDING No. 2007007400501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While associated with Westpark Capital, Inc. ("Westpark" or the "Firm") Dale R. Menendez ("Menendez") executed three unauthorized trades in one customer's account and excessively traded a second customer's account. In that second account, Menendez

02/26/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. DALE R. MENENDEZ (CRD No. 4880000), Respondent. Disciplinary Proceeding No.2007007400501 Hearing Officer - MC DEFAULT DECISION February 26, 2010 Respondent is barred from associating with any FINRA member firm in any capacity for: (i) engaging in unauthorized trading, in violation of Conduct Rule 2110; (ii) engaging in excessive trading, in violation of Conduct Rules 2110 and 2310, and IM-2310-2;

Reference 2007007400501finra.orgdata-portal.finra.orgdata-portal.finra.org