DENNIS P. COOPER

02/10/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DENNIS P. COOPER (CRD No. 2250395), Respondent. Disciplinary Proceeding No. C04050014 HEARING PANEL DECISION Hearing Officer - SW Date: February 10, 2006 Respondent is barred in all capacities for forging the signature of his manager on customer documents, in violation of NASD Conduct Rule 2110. Appearances James M. Stephens, Esq., Regional Counsel, and Jeffrey A. Ziesman, Regional Counsel, Kansas City, MO, for the Department of

05/07/2007: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Dennis P. Cooper Ballwin, MO, Respondent. DECISION Complaint No. C04050014 Dated: May 7, 2007 Registered principal forged the signature of another principal on customer documents. Held, findings and sanctions affirmed. Appearances For the Complainant: James M. Stephens, Esq., Leo F. Orenstein, Esq., Department of Enforcement, NASD For the Respondent: Firmin Puricelli, Esq. DECISION Pursuant to NASD

Reference C04050014data-portal.finra.orgdata-portal.finra.orgfinra.org