SHAWN DOUGLAS BURKE

04/10/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. SHAWN D. BURKE (CRD No. 1463381), Respondent. Disciplinary Proceeding No.2005000924701 Hearing Officer-RSH DEFAULT DECISION April 10, 2006 Respondent violated NASD Conduct Rules 2330(a) and 2110 by misusing or converting customer funds and NASD Procedural Rule 8210 and Conduct Rule 2110 by failing to respond to NASD requests for information. For these violations, Respondent is barred from associating with any NASD member in any

11/22/2005: NASD OFFICE OF HEARING OFFICERS Disciplinary Proceeding Department of Enforcement, Complainant, v. Shawn D. Burke (CRD No. 1463381) Respondent. No. 2005000924701 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Shawn D. Burke ("Burke") first became registered with an NASD member in 1986 as a Variable Contracts Representative. He was registered with New England Securities ("NES") in that capacity from approximately February 1986 to approximately May 2, 2005

Reference 2005000924701data-portal.finra.orgdata-portal.finra.orgfinra.org