ROBERT MARCUS LANE

12/26/2013: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Market Regulation, Complainant, vs. Robert Marcus Lane North Palm Beach, FL, and Jeffrey G. Lane Darien, CT, Respondents. DECISION Complaint No. 20070082049 Dated: December 26, 2013 Respondent Robert Marcus Lane engaged in improper interpositioning, resulting in unfair and excessive mark-ups and fraud. Respondent Jeffrey Griffin Lane failed to discharge his supervisory duties. Respondents

04/06/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Robert Marcus Lane (CRD No. 1411773), and Jeffrey Griffin Lane (CRD No. 1663977), Respondents. DISCIPLINARY PROCEEDING NO.20070082049 COMPLAINT The Department of Market Regulation alleges: SUMMARY 1. From October 2006 to May 2007, Robert Marcus Lane ("Marcus Lane"), the majority owner of Greenwich High Yield LLC ("GHYL"), engaged in fraudulent interpositioning and charged excessive and

02/13/2015: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 74269 / February 13, 2015 Admin. Proc. File No. 3-15701 In the Matter of the Application of ROBERT MARCUS LANE and JEFFREY GRIFFIN LANE For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF DISCIPLINARY PROCEEDINGS Violations of Securities Laws and Conduct Rules Unfair and Fraudulent Markups Interpositioning Failure to Supervise and Deficient

07/02/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. ROBERT MARCUS LANE (CRD No. 1411773), and JEFFREY GRIFFIN LANE (CRD No. 1663977), Respondents. Disciplinary Proceeding No. 20070082049 Hearing Officer-LOM HEARING PANEL DECISION July 2, 2012 Respondent Robert Marcus Lane interpositioned separate entities he owned between customers of his FINRA member firm and the contemporaneous market, resulting in unfair and excessive markups which he failed

Reference 2007008204901data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org