KENNETH CHRISTOPHER SHELLEY

12/07/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KENNETH CHRISTOPHER SHELLEY (CRD No. 4478307), Respondent. Disciplinary Proceeding No. C3A050003 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION December 7, 2005 Respondent attempted to cheat on Series 24 examination and violated the Rules of Conduct governing securities examinations, in violation of NASD Conduct Rule 2110. The Respondent is barred from association with any member firm in any capacity. Appearances For the

02/15/2007: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Kenneth Christopher Shelley, Mobile, Alabama Respondent. DECISION Complaint No. C3A050003 Dated: February 15, 2007 Respondent attempted to cheat on the Series 24 examination and violated the rules of conduct governing securities examinations, in violation of NASD Conduct Rule 2110. Held, findings and sanctions affirmed. Appearances For the Complainant: Helen G. Barnhill, Esq., Department of Enforcement

Reference C3A050003data-portal.finra.orgdata-portal.finra.orgfinra.org