DANA N. FRANKFORT

02/01/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANA N. FRANKFORT (CRD No. 2243930), Respondent. Disciplinary Proceeding No. C02040032 HEARING PANEL DECISION Hearing Officer - SW Dated: February 1, 2006 Respondent is barred for: (i) omitting material information when soliciting the purchase of securities, in violation of Section 10(b) of the Exchange Act, SEC Rule 10b-5 thereunder, and NASD Conduct Rules 2120; and (ii) making an unsuitable recommendation, in violation of NASD

05/24/2007: BEFORE THE NATIONAL ADJUDICATORY COUNCIL In the Matter of Department of Enforcement, Complainant, vs. Dana N. Frankfort Marina Del Rey, CA, Respondent. NASD DECISION Complaint No. C02040032 Dated: May 24, 2007 Respondent violated the antifraud provisions of the federal securities laws and NASD rules by failing to disclose material information when recommending an investment to customers. Respondent also violated NASD rules by engaging in private securities transactions without the prior approval of his firm

Reference C02040032data-portal.finra.orgdata-portal.finra.orgfinra.org