DAVID JOSEPH ESCARCEGA

02/29/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. DAVID JOSEPH ESCARCEGA (CRD No. 4367584), Respondent. Disciplinary Proceeding No. 2012034936005 Hearing Officer - MJD EXTENDED HEARING PANEL DECISION February 29, 2016 Respondent David Joseph Escarcega made materially false and misleading statements to seven customers in connection with their purchase of securities, in willful violation of Section 10(b) of the Securities Exchange Act of 1934

08/25/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. DAVID JOSEPH ESCARCEGA (CRD No. 4367584), RESPONDENT. DISCIPLINARY PROCEEDING No. 2012034936005 HEARING OFFICER- COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between March 2012 and January 2013 (the "relevant period"), while he was registered with Center Street Securities, Inc. ("Center Street" or "firm"), Respondent David Escarcega violated the

07/20/2017: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. David Joseph Escarcega Phoenix, AZ, Respondent. DESCISON Complaint No. 2012034936005 July 20, 2017 Respondent willfully made fraudulent misrepresentations concerning debentures, and caused his firm to make and preserve inaccurate books and records.

Reference 2012034936005data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org