JOHN D. KAWESKE

02/12/2007: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. John D. Kaweske Miami, FL, Respondent. Respondent failed to return investor funds promptly after an offering did not meet its sales contingency; failed to establish an escrow account for a contingency offering; made fraudulent misrepresentations in connection with the sale of preferred stock; and willfully failed to update his Form U4. Held, Hearing Panels findings affirmed and sanctions

02/10/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Hearing Officer - AWH JOHN D. KAWESKE (CRD No. 2309807), Respondent. HEARING PANEL DECISION Disciplinary Proceeding No. C07040042 February 10, 2006 Registered representative and principal (1) failed promptly to return investor funds upon failure of an offering to meet its sales contingency, in violation of Section 10(b) of the Securities Exchange Act, Rule

Reference C07040042data-portal.finra.orgfinra.orgdata-portal.finra.org