SEAN ANTHONY SPEARMAN

05/09/2014: FINRA OFFICE OF HEARING OFFICERS Disciplinary Proceeding Department of Enforcement, Complainant, v. Sean Spearman CRD No. 2945116, Respondent. Disciplinary Proceeding No. 2010023220501 Hearing Officer COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In February 2009, Respondent Sean Spearman ("Spearman"), while working for BMA Securities, Inc. ("BMA" or "the firm"), liquidated a position held by BMA customer, SWA, to meet margin requirements. Instead of selling the shares to market and maximizing

01/13/2015: FINRA OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Sean Spearman CRD No. 2945116, Respondent. Disciplinary Proceeding No. 2010023220501 Hearing Officer - KBW ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 13, 2015 INTRODUCTION Disciplinary Proceeding No. 2010023220501 was filed on May 9, 2014 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Sean Spearman (Respondent or Spearman) submitted an Offer of Settlement

Reference 2010023220501data-portal.finra.orgdata-portal.finra.orgfinra.org