RICHARD A. NEATON

01/07/2011: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Richard A. Neaton Port Charlotte, FL, Respondent. DECISION Complaint No. 2007009082902 Dated: January 7, 2011 Respondent willfully failed to disclose material information on his Form U4. Held, findings affirmed and sanctions modified. Appearances For the Complainant: Leo F. Orenstein, Esq., Mark P. Dauer, Esq., Department of Enforcement, Financial Industry

06/05/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RICHARD A. NEATON (CRD No. 2585328), Respondent. Disciplinary Proceeding No. 2007009082902 Hearing Panel Decision Hearing Officer - Sara Nelson Bloom June 5, 2009 For willfully failing to disclose on his Form U4 two suspensions and a revocation of his license to practice law, in violation of Rule 2110 and IM-1000-1, Respondent is suspended from associating with any member firm in any capacity

10/20/2011: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 65598 / October 20,2011 Adrnin. Proc. File No. 3-14252 In the Matter of the Application of RICHARD A. NEATON 3071 Rivershore Lane Port Charlotte, FL 33953 For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDINGS Violations of Membership and Conduct Rules Misstatements and Omissions on Form U4 Registered representative of member

Reference 2007009082902data-portal.finra.orgfinra.orgdata-portal.finra.orgdata-portal.finra.org