DENNIS ALBERT MEHRINGER, JR

06/15/2020: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Dennis A. Mehringer, Jr. Altadena, CA, Respondent. DECISION Complaint No. 2014041868001 Dated: June 15, 2020 Registered representative: (1) engaged in unsuitable short-term trading of mutual funds in a customer's accounts; (2) exercised discretion in the

12/16/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. DENNIS A. MEHRINGER, JR. (CRD No. 722569), RESPONDENT. DISCIPLINARY PROCEEDING No. 2014041868001 HEARING OFFICER - COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From July 2010 to August 2013, Respondent Dennis A. Mehringer, Jr. made unsuitable recommendations that caused a customer to engage in excessively expensive short term trading and intra-day switching of mutual fund Class A

04/30/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DENNIS A. MEHRINGER, JR. (CRD No. 722569), Respondent. Disciplinary Proceeding No. 2014041868001 Hearing Officer—MJD EXTENDED HEARING PANEL DECISION April 30, 2018 Respondent recommended unsuitable mutual fund Class A shares to a customer and exercised discretion in the customer’s accounts without written authorization.

Reference 2014041868001data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org

10/18/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061994701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dennis A. Mehringer, Jr., Respondent Former Registered Representative CRD No. 722569 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2019061994701data-portal.finra.orgfinra.org