JOHN CHERRY III

07/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. John Cherry III (CRD No. 1891720), Respondent. Disciplinary Proceeding No.20110269351 COMPLAINT The Department of Market Regulation alleges: Summary 1. From June 2009 until April 2011, John Cherry III ("Cherry"), while registered at a FINRA member firm, made improper use of, and converted, at least $374,000 in funds

12/17/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. JOHN CHERRY III (CRD No. 1891720), Respondent. Disciplinary Proceeding No. 20110269351 Hearing Officer - LOM HEARING PANEL DECISION, December 17, 2013 As charged in the First Cause of Action, Respondent converted customer funds for his own personal benefit. Instead of using the funds as the customers intended (to invest in a portfolio

03/03/2015: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Market Regulation, Complainant, vs. John Cherry, Ill Orlando, FL, Respondent. DECISION Complaint No. 20110269351 Dated: March 3, 2015 The respondent misused and converted customer funds, committed securities fraud, and engaged in outside business activities without disclosure to his firm. Held, findings and sanctions modified. Appearances For the Complainant: Gary Jackson, Esq.,

Reference 2011026935101data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org