DEMITRIOS HALLAS

11/02/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. DEMITRIOS HALLAS (CRD No. 4199832), Respondent. DISCIPLINARY PROCEEDING No. 2015047828802 Hearing officer-KBW DEFAULT DECISION November 2, 2017 Respondent is barred from associating with any

06/16/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Demitrios Hallas (CRD No. 4199832), Respondent. DISCIPLINARY PROCEEDING No. 2015047828802 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On two occasions during March and April 2017, Respondent Demitrios Hallas (''Hallas") failed to appear and provide testimony requested pursuant to FINRA Rule 8210. As a result, Hallas violated FINRA Rules 8210 and 2010. RESPONDENT AND

Reference 2015047828802data-portal.finra.orgdata-portal.finra.orgfinra.org

05/09/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, Demitrios Hallas (CRD No. 4199832), Respondent. DISCIPLINARY PROCEEDING No. 2012031943701 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY. In August and September 2011, Respondent Demitrios Hallas recommended that two customers liquidate their investments and invest the proceeds in mutual funds. Hallas had no reasonable basis for recommending these investment

06/23/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Demitrios Hallas (CRD No. 4199832), Respondent. Disciplinary Proceeding No. 2012031943701 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 23, 2014 INTRODUCTION Disciplinary Proceeding No. 2012031943701 was filed on May 9, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Demitrios Hallas submitted

Reference 2012031943701data-portal.finra.orgdata-portal.finra.orgfinra.org