PATRICK F. HARTE JR.

08/31/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PATRICK F. HARTE, Jr. (CRD No. 1865650), Respondent. Disciplinary Proceeding No. 2006003672401 Hearing Officer-LBB HEARING PANEL DECISION August 31, 2009 Respondent is suspended in all principal capacities for six months, fined $10,000, and ordered to re-qualify as a principal before functioning in any principal capacity, for failing to supervise registered representatives engaged in the sale of

Reference 2006003672401data-portal.finra.orgfinra.org

07/21/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PATRICK F. HARTE, Jr. (CRD No. 1865650), Respondent. Disciplinary Proceeding No.2006004666601 Hearing Officer - MAD DEFAULT DECISION July 21, 2011 Respondent is barred from associating with any FINRA registered firm in any capacity for violating (1) NASD Conduct Rule 2110 by participating in the sale of unregistered securities in violation of Section 5 of the Securities Act of 1933, and (2) NASD

Reference 2006004666601data-portal.finra.orgfinra.org