Bruce Zipper

04/22/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046512101 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Bruce Martin Zipper, Respondent General Securities Principal CRD No. 1019731 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. This AWC is submitted on the

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06/18/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. BRUCE MARTIN ZIPPER (CRD No. 1019731) and DAKOTA SECURITIES INTERNATIONAL, INC. (CRD No. 132700), Respondents. Disciplinary Proceeding No. 2016047565702 Hearing Officer—DW HEARING PANEL DECISION June 18, 2018 Respondent Bruce Zipper improperly associated with his firm, Respondent Dakota Securities, during a three-month all-capacities suspension.

11/08/2017: FINANCIAL INDTJSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bruce Martin Zipper (CRD No. 1019731), and Dakota Securities International, Inc. (CRD No. 132700), Respondents. DISCIPLINARY PROCEEDING NO. 2016047565702 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From May 31, 2017 through August 30, 2016, while statutorily disqualified and suspended in all capacities, Bruce Martin Zipper conducted a securities business

03/16/2022: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Dakota Securities International, Inc. and Bruce Martin Zipper Miami, FL, Respondents. Decision Complaint No. 2016047565702 Dated: March 16, 2022 On remand from the Securities and Exchange Commission for redetermination of sanctions. Held, sanctions modified. Appearances For the Complainant: Megan P. Davis, Esq., Department of Enforcement, Financial Industry Regulatory Authority

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04/22/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035303301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE : Dakota Securities International, Inc. Respondent Member CRD No. 132700 -and- Bruce Martin Zipper, Respondent General Securities Principal CRD No. 1019731. Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Dakota Securities International. Inc. ("DSI") and Bruce Martin Zipper ("Zipper") submit

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02/14/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047215401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bruce Martin Zipper, Respondent Former General Securities Principal (CRD No. 1019731) 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 2015047215401data-portal.finra.orgfinra.org

09/29/2017: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 81788 / September 29, 2017 Admin Proc. File No. 3-17963 In the Matter of the Application of BRUCE ZIPPER For Review of Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION---REVIEW OF FINRA ACTION Associated person of FINRA member sought to withdraw from a Letter of Acceptance, Waiver and Consent he entered into with FINRA. Held, application for review is dismissed.

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03/18/2019: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Dakota Securities International, Inc. and Bruce Martin Zipper Miami, FL, Respondents. Decision Complaint No. 2016047565702 Dated: March 18, 2019 Registered person associated with member firm and engaged in activities requiring registration while suspended and statutorily disqualified and

12/21/2020: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 90737 / December 21, 2020 Admin. Proc. File No. 3-19138 In the Matter of the Application of BRUCE ZIPPER and DAKOTA SECURITIES INTERNATIONAL, INC. For Review of Disciplinary Action Taken By FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDING Registered securities association expelled firm from membership in association, and

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