RICHARD DANIEL TABIZON, II

03/24/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Trevor Michael Saliba (CRD No. 2692057), Sperry Randall Younger (CRD No. 2771029), Richard Daniel Tabizon (CRD No. 2601208), and Arthur Mansourian (CRD No. 5252154), Respondents. DISCIPLINARY PROCEEDING No. 2013037522501 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Shortly after filing a Continuing Membership Application ("CMA") in mid-2012, NMS Capital

01/08/2019: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Trevor Michael Saliba Beverly Hills, CA, Sperry Randall Younger New York, NY, Richard Daniel Tabizon Beverly Hills, CA, and Arthur Mansourian Beverly Hills, CA, Respondents. DECISION Complaint No. 2013037522501 Dated: January 8, 2019 Registered principal: (1) caused his firm to violate restrictions imposed by FINRA

12/15/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. TREVOR MICHAEL SALIBA (CRD No. 2692057), SPERRY RANDAL YOUNGER (CRD No. 2771029), RICHARD DANIEL TABIZON (CRD No. 2601208), RICHARD DANIEL TABIZON (CRD No. 261208), and ARTHUR MANSOURIAN (CRD No. 5252154), Respondents. Disciplinary Proceeding No. 2013037522501 Hearing Officer-DMF EXTENDED HEARING PANEL DECISION December 15, 2017

Reference 2013037522501data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org