CHRISTOPHER JOHN LOONEY

06/10/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTOPHER LOONEY, (CRD No. 1836267) Respondent. Disciplinary Proceeding No. 20080135310-01 Hearing Officer AHP ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 10,2010 INTRODUCTION Disciplinary Proceeding No. 20080135310-01 was filed on November 13, 2009 by the Department of Enforcement of the Financial Industry Regulatory

Reference 2008013531001data-portal.finra.orgfinra.org

03/25/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTOPHER LOONEY (CRD No. 1836267), Respondent. Disciplinary Proceeding No. 2009016159104 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period June 2009 through December 2009, Respondent Christopher Looney, a registered representative at iTRADEdirect.com (iTrade), submitted purchase orders for

08/14/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. CHRISTOPHER LOONEY (CRD No. 1836267), Respondent. Disciplinary Proceeding No. 2009016159104 Hearing Officer - LOM DEFAULT DECISION August 14, 2013 First Cause of Action: Respondent violated FINRA Rule 2010 by engaging in unauthorized trading. Second Cause of Action: Respondent violated NASD Rules 3110 and 2110 by creating false and inaccurate

Reference 2009016159104data-portal.finra.orgdata-portal.finra.orgfinra.org