ROBERT L. KEYS

02/04/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Robert L. Keys (CRD No. 720689), Respondent. DISCIPLINARY PROCEEDING No. 20090171251-01 ORDER ACCEPTING OFFER OF SETTLEMENT DATE: FEBRUARY 4, 2011 INTRODUCTION Disciplinary Proceeding No. 20090171251-01 was filed on August 31, 2010 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Robert L. Keys submitted an Offer of Settlement (Offer

08/31/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Robert L. Keys (CRD No. 720689), Respondent. DISCIPLINARY PROCEEDING NO. 20090171251 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Robert L. Keys made material misrepresentations and omissions in connection with the sale of a $1.1 million promissory note to customer MF. Further, as the president, chief executive officer (CEO) and chief compliance officer (CCO) of former FINR

Reference 2009017125101data-portal.finra.orgdata-portal.finra.orgfinra.org

01/10/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## C3B040032 TO: Department of Enforcement NASD RE: Private Consulting Group, Inc., Respondent Member CRD No. 45053 and Robert L. Keys, Respondent General Securities Principal CRD No. 720689 Pursuant to Rule 9216 of NASD Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in

Reference C3B040032finra.orgdata-portal.finra.org

10/15/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070074072-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Private Consulting Group, Inc., Respondent Member Firm CRD No. 45053 and Robert L. Keys, Respondent General Securities Representative General Securities Principal CRD No. 720689 and David C. Hock, Respondent General Securities Representative General Securities Principal Limited Principal - Financial and Operations Limited

Reference 2007007407201finra.orgdata-portal.finra.org