MARC WINTERS

02/07/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARC WINTERS (CRD No. 4053113) Respondent. Disciplinary Proceeding No. E102004083704 Hearing Officer - AWH HEARING PANEL DECISION February 7, 2008 Registered representative improperly obtained contingent deferred sales charge waivers for customer selling Class B mutual fund shares by falsely claiming that those customers were disabled, in violation of NASD Conduct Rules 2110 and 3110. Respondent is

07/30/2009: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Marc Winters Chatsworth, CA, Respondent. DECISION Complaint No. E102004083704 Dated: July 30, 2009 Respondent caused his member firm's books and records to contain inaccurate information. Held, findings affirmed and sanctions modified. Appearances For the Complainant: Leo F. Orenstein, Esq., Christina J. Kang, Esq., Department of Enforcement, Financial Industry

Reference E102004083704data-portal.finra.orgdata-portal.finra.orgfinra.org