JEFFREY B. PIERCE

01/30/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JEFFREY B. PIERCE (CRD No. 3190666), Respondent. Disciplinary Proceeding No. 2007010902501 Hearing Officer-Sara Nelson Bloom HEARING PANEL DECISION January 30, 2012 Respondent is suspended from associating with any member firm in any capacity for one year and fined $25,000 for: 1) concealing annuity switches in customer accounts, in violation of NASD Conduct Rule 2110; 2) providing false

10/01/2013: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant vs. Jeffrey B. Pierce Waltham, MA, Respondent. DECISION Complaint No. 2007010902501 Dated: October 1,2013 Registered representative falsified firm records, concealed seven annuity switches from member firm, and intentionally misrepresented adverse tax consequences of six annuity switches to member firm. Held, findings and sanctions modified. Appearances For the

05/28/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. JEFFREY B.PIERCE (CRD NO. 3190666), RESPONDENT. DISCIPLINARY PROCEEDING NO. 2007010902501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or about November 2006 through in or about September 2007, Jeffrey B. Pierce (Pierce), circumvented the procedures of his then member firm, IFMG Securities, Inc. (IFMG), in order to conceal seven unsuitable annuity "replacement transaction," a

Reference 2007010902501data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org

07/14/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150451660-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jeffrey B. Pierce, Respondent CRD No. 3190666 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2015045166001finra.orgdata-portal.finra.org