Brent Morgan Porges

01/05/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant. V. CRAIG SCOTT CAPITAL, LLC (CRD No. 155924), CRAIG SCOTT TADDONIO (CRD No. 4773787), and BRENT MORGAN PORGES (CRD No. 4002626), Respondents. DISCIPLINARY PROCEEDING No. 20150448235-01 CORRECTED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. For nearly three years, from the day the firm opened its doors in January 2012 through at least December 2014 (the "Relevant Period"),

01/29/2019: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Craig Scott Taddonio New York, NY, Brent Morgan Porges New York, NY, and Edward Beyn New York, NY, Respondents. DECISION Complaint Nos. 2015044823501 2015044823502 Dated January 29, 2019 Registered representative excessively traded and churned customer accounts and made unsuitable recommendations to a customer. Registered representative and principal failed to

07/31/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. CRAIG SCOTT TADDONIO (CRD No. 4773787), and BRENT MORGAN PORGES (CRD No. 4002626), Respondents. Disciplinary Proceeding No. 2015044823501 Hearing Officer-DMF DEPARTMENT OF ENFORCEMENT, Complainant, v. EDWARD BEYN (CRD No. 5406273), Respondent. Disciplinary Proceeding No. 2015044823502 Hearing Officer-DMF EXTENDED HEARING PANEL DECISION July 31, 2017 Summary Respondent Beyn excessively traded

Reference 2015044823501data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org

01/29/2019: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Craig Scott Taddonio New York, NY, Brent Morgan Porges New York, NY, and Edward Beyn New York, NY, Respondents. DECISION Complaint Nos. 2015044823501 2015044823502 Dated January 29, 2019 Registered representative excessively traded and churned customer accounts and made unsuitable recommendations to a customer. Registered representative and principal failed to

07/31/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. CRAIG SCOTT TADDONIO (CRD No. 4773787), and BRENT MORGAN PORGES (CRD No. 4002626), Respondents. Disciplinary Proceeding No. 2015044823501 Hearing Officer-DMF DEPARTMENT OF ENFORCEMENT, Complainant, v. EDWARD BEYN (CRD No. 5406273), Respondent. Disciplinary Proceeding No. 2015044823502 Hearing Officer-DMF EXTENDED HEARING PANEL DECISION July 31, 2017 Summary Respondent Beyn excessively traded

Reference 2015044823502data-portal.finra.orgfinra.orgdata-portal.finra.org