STEVEN GARY DASH

12/20/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Hallmark Investments, Inc, (CRD No. 135003), Steven G. Dash (CRD No. 2438498), Stephen P. Zipkin (CRD No. 2567513), and William H. Coons (CRD No. 2049465) Respondents. DISCIPLINARY PROCEEDING No. 2014039352302 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In November 2014, Hallmark Investments, Inc. ("Hallmark" or the "Firm"), Steven G. Dash, and Stephen P. Zipkin

08/14/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Hallmark Investments, Inc. (CRD No. 135003), Steven G. Dash (CRD No. 2438498), Stephen P. Zipkin (CRD No. 2567513), and William H. Coons (CRD No. 2049465) Respondents. Disciplinary Proceeding No. 2014039352302 Complainant, Hearing Officer - RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 31, 2017 INTRODUCTION Disciplinary Proceeding No. 2014039352302 was filed on December 20, 2016, by the

Reference 2014039352302finra.orgdata-portal.finra.orgdata-portal.finra.org

02/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. HALLMARK INVESTMENTS, INC. (BD NO. 135003), AND STEVEN GARY DASH (CRD No. 2438498), RESPONDENTS. DISCIPLINARY PROCEEDING No. 2006 003 6895 01 Hearing Officer SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 20, 2009 INTRODUCTION Disciplinary Proceeding No. 2006003689501 was filed on January 10, 2008, by the Department of Enforcement of the Financial Industry Regulatory Authority

Reference 2006003689501data-portal.finra.orgfinra.org