ANDREW PAUL ARNO

10/31/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050001370-01 TO: Department of Market Regulation NASD RE: C.E. Unterberg, Towbin, LLC, Respondent Broker-Dealer CRD No. 24790 James Thomas Whipple, Respondent Andrew Arno, Respondent CRD No. 1021807 Pursuant to Rule 9216 of NASD Code of Procedure, C.E. Unterberg, Towbin, LLC ("CEUT" of "firm") , James Thomas Whipple ("Whipple") and Andrew Arno ("Arno") (collectively, "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

Reference 2005000137001finra.orgdata-portal.finra.org

09/30/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Andrew Paul Arno (CRD No. 2643104), Respondent. DISCIPLINARY PROCEEDING No. 2010023480801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Registered Representative Andrew Arno misrepresented to four customers that he was going to invest their funds in IRAs. Instead, Arno placed the customers' funds into a bank account that he controlled. 2. From November 10, 2010 through the present, in

05/04/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANDREW PAUL ARNO (CRD No. 2643104), Respondent. Disciplinary Proceeding No. 2010023480801 Hearing Officer - SNB DEFAULT DECISION May 4, 2012 Respondent is barred from associating with any FINRA registered firm in any capacity for misusing customer funds, in violation of NASD Rules 2330(a) and 2110 and FINRA Rules 2150(a) and 2010; and failing to respond to requests for information and testimony, in

Reference 2010023480801data-portal.finra.orgdata-portal.finra.orgfinra.org