JOHN BRIGANDI

01/17/2007: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. John Brigandi Greenvale, NY, Respondent. DECISION Complaint No. C10040025 Dated: January 17, 2007 Respondent made unsuitable recommendations to a customer. Held, findings affirmed and sanctions affirmed. Appearances For the Complainant: Adam Lipnick, Esq., Department of Enforcement, NASD For the Respondent: Steven M. Kaplan, Esq.

01/14/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN BRIGANDI (CRD No. 1388900), Disciplinary Proceeding No. C10040025 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION January 14, 2005 Respondent. Respondent barred from associating with any firm in any capacity for making unsuitable recommendations, in violation of NASD Conduct Rules 2310 and 2110. Appearances Adam Lipnick and Linda Kolodny, New York, NY (Rory C. Flynn, NASD Chief Litigation Counsel,

Reference C10040025data-portal.finra.orgdata-portal.finra.orgfinra.org