DAVID OSCAR BRAEGER

07/20/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS - Department of Enforcement, Complainant, V. David O. Braeger (CRD No. 2137240), DISCIPLINARY PROCEEDING No. 2015045456401 Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent David O. Braeger improperly used and converted $30,000 in customer funds that he obtained from husband and wife customers TH and SE in July 2009 while Braeger was registered through member firm Newport Coast Securities, Inc.

12/27/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID O. BRAEGER (CRD No. 2137240), Respondent. Disciplinary Proceeding No. 2015045456401 Hearing Officer-LOM EXTENDED HEARING PANEL DECISION December 27, 2017 As alleged in the First Cause of Action, Respondent misused and converted his customers’ investment funds, for which misconduct he is barred. As alleged in the Second Cause of Action, Respondent also made misrepresentations

12/16/2019: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDIUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. David O. Braeger Milwaukee, WI, Respondent. DECISION Complaint No. 2015045456401 Dated: December 16, 2019 Registered representative misused and converted customer funds and made material misrepresentations and omissions to customers. Held, findings and sanctions affirmed. Appearances For the Complainant: Leo F. Orenstein, Esq., Suzanne H. Bertolett, Esq., Department of Enforcement,

Reference 2015045456401data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org