ANGELO XAGORARIS

08/01/2014: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complaint, vs. Angelo Xagoraris San Jose, CA, Respondent. CORRECTED DECISION* Complaint Nos. 20080127674 & 20080133768 Dated: August 1, 2014 Respondent made unsuitable recommendations to two customers, engaged in outside business activities without providing prompt written notice to his member firm, and provided false information to his firm.

01/25/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Angelo Xagoraris (CRD No. 2495422), Respondent. DISCIPLINARY PROCEEDING NOS. 20080127674 & 20080133768 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During 2005 and 2006, Respondent Angelo Xagoraris made unsuitable recommendations to customers of his member firm, World Group Securities, Inc. (WGS or the firm)

Reference 2008012767401data-portal.finra.orgdata-portal.finra.orgfinra.org

08/01/2014: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY Department of Enforcement, Complainant VS. Angelo Xagoraris, San Jose, CA, Respondent. In the Matter of CORRECTED DECISION, Complaint Nos. 20080127674 & 20080133768, Dated: August 1,2014 Respondent made unsuitable recommendations to two customers, engaged in outside business activities without providing prompt written notice to his member firm, and provided false information to his firm. Held, findings and sanctions affirmed.

Reference 2008013376801data-portal.finra.orgfinra.org