SHLOMI S EPLBOIM

10/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. MAXXTRADE, INC. Broker Dealer (CRD No. 106471) and MYRON DAVID SCHNEIDT Registered Principal (CRD No. 1560906) and SHLOMI S. EPLBOIM Registered Representative (CRD No. 2417002) Respondents Disciplinary Proceeding No. 2008011759202 Hearing Officer COMPLAINT The Department of Enforcement

Reference 2008011759202data-portal.finra.orgfinra.org

03/12/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SHLOMI S. EPLBOIM (CRD No. 2417002), Respondent. Disciplinary Proceeding No. 2011025674101 Hearing Officer - AWL HEARING PANEL DECISION March 12, 2013 Respondent is barred from associating with any member in any capacity for failing to comply with FINRA's request to provide information, in violation of FINRA Procedural Rule 8210 and Conduct Rule 2010. Appearances For Complainant: Sean W. Firley,

05/14/2014: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter oi Department oi Enforcement, Complainant, vs. Shlomi S. Eplboim Tarzana, CA, Respondent. DECISION Complaint No. 2011025674101 Dated: May 14, 2014 Respondent failed to comply fully with FINRA requests to provide information and documents. Held, findings and sanction affirmed. Appearances For the Complainant: Mark P. Dauer, Esq., Department of Enforcement, Financial Industry Regulatory Authority For the Respondent:

Reference 2011025674101finra.orgdata-portal.finra.orgdata-portal.finra.org