Craig Stanton Norton

01/31/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CRAIG STANTON NORTON (CRD No. 349405), Respondent. Disciplinary Proceeding No. 2016048837401 Hearing Officer–DRS EXTENDED HEARING PANEL DECISION January 31, 2022 For willfully manipulating the market for a security, Respondent Craig Stanton Norton is barred from associating with any FINRA member firm in any capacity and fined $240,360 plus interest. Appearances For the Complainant: Brody W. Weichbrodt, Esq.,

07/16/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILSON-DAVIS & CO., INC. (CRD No. 3777), JAMES C. SNOW, JR. (CRD No. 2761102), LYLE WESLEY DAVIS (CRD No. 62352), BYRON BERT BARKLEY (CRD No. 12469), and CRAIG STANTON NORTON (CRD No. 349405), Respondents. Disciplinary Proceeding No.2016048837401 Hearing Officer- DRS ORDER ACCEPTING OFFER OF SETTLEMENT

07/19/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. WILSON-DAVIS & CO., INC. (CRD No. 3777), JAMES C. SNOW, JR. (CRD No. 2761102), LYLE WESLEY DAVIS (CRD No. 62352), BYRON BERT BARKLEY (CRD No. 12469), and CRAIG STANTON NORTON (CRD No. 349405), Respondents. DISCIPLINARY PROCEEDING NO. 2016048837401 COMPLAINT The Department of Enforcement alleges as follows: SUMMARY 1. From late February 2015 through June 2015, Wilson-Davis & Co., Inc.

Reference 2016048837401data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org