JOSEPH A. ZARAGOZA

07/27/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOSEPH A. ZARAGOZA (CRD No. 2417735), Respondent. Disciplinary Proceeding No. E8A2002109804 Hearing Officer-SNB HEARING PANEL DECISION July 27, 2007 For discretionary trading without written authorization in violation of Rules 2120 and 2510; for excessive trading in violation of Rules 2310 and 2110; and for failure to submit email correspondence for supervision and review in violations of Rule 2110, Respondent is barred in all

08/20/2008: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Joseph A. Zaragoza, Chicago, IL, Respondent. DECISION Complaint No. E8A2002109804 Dated: August 20, 2008 Respondent traded excessively in a customer's account; exercised discretion without having prior written authorization; failed to submit email correspondence to his firm for review and approval; and failed to provide his firm written notice of his outside business

Reference E8A2002109804data-portal.finra.orgdata-portal.finra.orgfinra.org

09/08/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Joseph Zaragoza, CRD No. 2417735 Respondent. Disciplinary Proceeding No. E8A2002109804 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Between November 1999 and July 2002, Joseph Zaragoza ("Respondent") was registered as an Investment Company/Variable Contracts Products Representative with David A. Noyes & Co., a member of NASD. Since July 2002, Zaragoza has been and is currently registered

Reference E8A2002109804data-portal.finra.orgfinra.org