Edward Beyn

01/29/2019: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Craig Scott Taddonio New York, NY, Brent Morgan Porges New York, NY, and Edward Beyn New York, NY, Respondents. DECISION Complaint Nos. 2015044823501 2015044823502 Dated January 29, 2019 Registered representative excessively traded and churned customer accounts and made unsuitable recommendations to a customer. Registered representative and principal failed to

03/16/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. EDWARD BEYN (CRD No. 5406273), Respondent. No. DISCIPLINARY PROCEEDING 2015044823502 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From March 2012 through May 2015. while registered through Craig Scott Capital. LLC ("CSC" or the "Firm"), Respondent Edward Beyn excessively traded and churned six customers' accounts. As a result of his churning. Beyn willfully violated

07/31/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. CRAIG SCOTT TADDONIO (CRD No. 4773787), and BRENT MORGAN PORGES (CRD No. 4002626), Respondents. Disciplinary Proceeding No. 2015044823501 Hearing Officer-DMF DEPARTMENT OF ENFORCEMENT, Complainant, v. EDWARD BEYN (CRD No. 5406273), Respondent. Disciplinary Proceeding No. 2015044823502 Hearing Officer-DMF EXTENDED HEARING PANEL DECISION July 31, 2017 Summary Respondent Beyn excessively traded

04/19/2023: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 97325 / April 19, 2023 Admin. Proc. File Nos. 3-19007, 3-19012 In the Matter of the Applications of Edward Beyn and Craig S. Taddonio For Review of Disciplinary Action Taken by FINRA Opinion of the Commission REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDINGS FINRA barred former registered representative of FINRA member firm from associating with any member firm after it found that he excessively traded and churned customer accounts and made an unsuitable recommendation to a customer.

Reference 2015044823502data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org

01/29/2019: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Craig Scott Taddonio New York, NY, Brent Morgan Porges New York, NY, and Edward Beyn New York, NY, Respondents. DECISION Complaint Nos. 2015044823501 2015044823502 Dated January 29, 2019 Registered representative excessively traded and churned customer accounts and made unsuitable recommendations to a customer. Registered representative and principal failed to

07/31/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. CRAIG SCOTT TADDONIO (CRD No. 4773787), and BRENT MORGAN PORGES (CRD No. 4002626), Respondents. Disciplinary Proceeding No. 2015044823501 Hearing Officer-DMF DEPARTMENT OF ENFORCEMENT, Complainant, v. EDWARD BEYN (CRD No. 5406273), Respondent. Disciplinary Proceeding No. 2015044823502 Hearing Officer-DMF EXTENDED HEARING PANEL DECISION July 31, 2017 Summary Respondent Beyn excessively traded

04/19/2023: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 97325 / April 19, 2023 Admin. Proc. File Nos. 3-19007, 3-19012 In the Matter of the Applications of Edward Beyn and Craig S. Taddonio For Review of Disciplinary Action Taken by FINRA Opinion of the Commission REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDINGS FINRA barred former registered representative of FINRA member firm from associating with any member firm after it found that he excessively traded and churned customer accounts and made an unsuitable recommendation to a customer.

Reference 2015044823501finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.org