JOHN VINCENT BALLARD

03/25/2016: UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 77452 / March 25, 20165 Admin. Proc. File No. 3-17109 In the Matter of JOHN VINCENT BALLARD ORDER DISMISSING UNTIMELY APPLICATION FOR REVIEW Appeal filed: February 9, 2016 Last brief received: February 24, 2016 FINRA requests that we dismiss as untimely an application for review filed by John Vincent Ballard ("Ballard"), an individual formerly associated with a FINRA member. Ballard failed to

12/17/2015: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. John Vincent Ballard Memphis, TN, Respondent. DECISION Complaint No. 2010025181001 Dated: December 17, 2015 Respondent engaged in undisclosed outside business activities, failed to provide documents in response to FINRA's requests for documents, and failed to appear for on-the-record testimony. Held, findings and sanctions affirmed. Appearances For the Complainant:

05/06/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, vs. JOHN VINCENT BALLARD (CRD No. 2988526), Respondent. Disciplinary Proceeding No. 2010025181001 Hearing Officer - David R. Sonnenberg HEARING PANEL DECISION May 6, 2014 Respondent is barred for failing to provide documents and for failing to provide on-the-record investigative testimony, in violation of FINRA Rules 8210 and 2010, and is ordered to pay costs. In light of the bar, no further sanctions

Reference 2010025181001data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org