STEWART MALLOY

08/06/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035953801 TO: Department of Enforcement Financlal Industry Regulatory Authority ("FINRA") RE: Stewart Malloy, Respondent General Securities Representative CRD No. 1029931 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Respondent Stewart Mallow ("Respondent" or "Malloy"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2013035953801data-portal.finra.orgfinra.org

12/12/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEWART CLINTON MALLOY (CRD No. 1029931), Respondent. Disciplinary Proceeding No. 2016051299201 Hearing Officer–MJD DEFAULT DECISION December 12, 2018 Respondent is barred from associating with any FINRA member firm in any capacity for failing to attend an on-the-record interview during an investigation, in violation of FINRA Rules 8210 and 2010.

08/24/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Stewart Clinton Malloy (CRD No. 1029931), Respondent. DISCIPLINARY PROCEEDING No. 2016051299201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Stewart Clinton Malloy (Malloy") failed to appear and provide testimony pursuant to FINRA Rule 8210 on two occasions. As a result, Malloy violated FINRA Rules 8210 and 2010.

Reference 2016051299201data-portal.finra.orgdata-portal.finra.orgfinra.org