TALMAN ANTHONY HARRIS

10/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. WILLIAM SCHOLANDER (CRD No. 2938044), TALMAN HARRIS, (CRD No. 3209947), Respondents. Disciplinary Proceeding No. 2013036681701 Hearing Officer DW AMENDED DEFAULT DECISION1 and October 18, 2016 Respondent William Scholander failed to update his Form U4 to disclose a customer complaint alleging unauthorized trading. Respondent Talman Harris failed to adequately supervise Scholander and

01/05/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Radnor Research & Trading Company, CRD No. 130120, William Scholander, CRD No. 2938044, and Talman Harris, CRD No. 3209947, Respondents. Disciplinary Proceeding No. 2013036681701 Hearing Officer COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From February 2011 through March 2013 ("the relevant period"), Radnor Research & Trading Company,

Reference 2013036681701data-portal.finra.orgfinra.orgdata-portal.finra.org

12/29/2014: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant vs. William Scholander New York, NY, and Talman Harris Garden City, NY, Respondents. DECISION Complaint No. 2009019108901 Dated: December 29, 2014 Respondents fraudulently omitted material facts when soliciting purchases of securities and engaged in outside business activities without providing their employer with prompt written notice. Held, findings and sanctions

01/31/2012: FINRA OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. William Scholander, CRD No. 2938044, and Talman Harris, CRD No. 3209947, Respondents. Disciplinary Proceeding No. 2009019108901 Hearing Officer COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In November 2009, Respondents William Scholander ("Scholander") and Talman Harris ("Harris"), along with two other individuals, Ronen Zakai ("Zakai") and Maureen Gearty ("Gearty"), entered into a consulting agreement with Deer

03/31/2016: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 77492 / March 31,2016 Admin. Proc. File No. 3-16360 In the Matter of the Applications of WILLIAM SCHOLANDER and TALMAN HARRIS For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF DISCIPLINARY PROCEEDINGS Fraudulent Omissions Failure to Provide Written Notice to Firm of Outside Business Activities Conduct Inconsistent with Just and

10/25/2017: 16‐1739‐cv Harris v. SEC UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT SUMMARY ORDER RULINGS BY SUMMARY ORDER DO NOT HAVE PRECEDENTIAL EFFECT. CITATION TO A SUMMARY ORDER FILED ON OR AFTER JANUARY 1, 2007, IS PERMITTED AND IS GOVERNED BY FEDERAL RULE OF APPELLATE PROCEDURE 32.1 AND THIS COURT’S LOCAL RULE 32.1.1. WHEN CITING A SUMMARY ORDER IN A DOCUMENT FILED WITH THIS COURT, A PARTY MUST CITE EITHER THE FEDERAL APPENDIX OR AN ELECTRONIC DATABASE (WITH THE NOTATION “SUMMARY ORDER”).

08/16/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, WILLIAM SCHOLANDER (CRD No. 2938044) and TALMAN HARRIS (CRD No. 3209947), Respondents. Disciplinary Proceeding No. 2009019108901 Hearing Officer-LOM HEARING PANEL DECISION August 16, 2013 As alleged in the First Cause of Action, Respondents committed fraud in violation of Section 10(b) of the Securities Exchange Act of 1934, SEC Rule 10b-5, and FINRA Rules 2020 and 2010. For this misconduct, each

Reference 2009019108901data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org