DAVID J. LEYSHON

08/23/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID J. LEYSHON (CRD No. 1146050), Disciplinary Proceeding No. E3A2004035601 Hearing Officer-Andrew H. Perkins DEFAULT DECISION August 23, 2006 Respondent. Respondent is barred from associating with any NASD member firm in any capacity for: (i) effecting unsuitable recommendations, in violation of NASD Conduct Rules 2110 and 2310; (ii) fraudulent conduct and excessive trading, in violation of Section 10(b) of the Securities and

03/13/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. DAVID J. LEYSHON, CRD No. 1146050, RESPONDENT. DISCIPLINARY PROCEEDING No. E3A20040356-01 HEARING OFFICER: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent David J. Leyshon ("Leyshon" or "Respondent") was associated with members of NASD from June 1983 until July 1985, from November 1990 until March 1992 and from July 2001 until December 2004. His most recent association terminated in December 2004.

Reference E3A2004035601data-portal.finra.orgdata-portal.finra.orgfinra.org