DAMIEN PAYMAN ALEXANDER

06/09/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. DAMIEN P. ALEXANDER (CRD No. 2724252), Respondent. Disciplinary Proceeding No. 2013035581901 Hearing Officer -CC DEFAULT DECISION June 9, 2014 Respondent is barred from associating with any FINRA member firm in any capacity for failing to respond to FINRA requests for information, in violation of MRA Rules 8210 and 2010. Appearances John S. Han, Esq., for the Department of Enforcement

Reference 201303551901data-portal.finra.orgfinra.org

01/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, DISCIPLINARY PROCEEDING No. 2013035581901 v. Damien P. Alexander (CRD No. 2724252), COMPLAINT Respondent. The Department of Enforcement alleges: SUMMARY 1. Respondent Damien P. Alexander failed to provide information requested by FINRA staff in connection with an investigation. RESPONDENT AND JURISDICTION 2. Alexander entered the securities industry in March 1996 by applying for registration

06/09/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAMIEN P. ALEXANDER (CRD No. 2724252), Respondent. Disciplinary Proceeding No. 2013035581901 Hearing Officer -CC DEFAULT DECISION June 9, 2014 Respondent is barred from associating with any FINRA member firm in any capacity for failing to respond to FINRA requests for information, in violation of FINRA Rules 8210 and 2010. Appearances John S. Han, Esq., for the Department of Enforcement,

Reference 2013035581901data-portal.finra.orgfinra.orgdata-portal.finra.org