BLAIR ALEXANDER WEST

02/20/2014: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Blair Alexander West Southampton, NY, Respondent DECISION Complaint No. 2009018076101 Dated: February 20, 2014 Respondent misused customer funds. Held, findings and sanctions affirmed. Appearances For the Complainant: Samuel L. Barkin, Esq., Leo F. Orenstein, Esq., Department of Enforcement,

01/09/2015: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 74030 / January 9, 2015 Admin. Proc. File No. 3-15811. In the Matter of the Application of BLAIR ALEXANDER WEST c/o Stanford R. Solomon, Esq. The Solomon Group, P.A. 1881 West Kennedy Blvd. Tampa, FL 33606-1606 For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDINGS Principal of former member firm of registered

Reference 2009018076101data-portal.finra.orgfinra.orgdata-portal.finra.org

07/26/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BLAIR A. WEST (CRD No. 2647767), Respondent. Disciplinary Proceeding No. 2009018076101 Hearing Officer-SNB HEARING PANEL DECISION July 26, 2012 For misusing funds in violation of FINRA Rule 2010, Respondent is barred. In light of the bar, no further sanctions are imposed for causing his firm to violate SEC

06/29/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BLAIR A. WEST (CRD No. 2647767), Respondent. DISCIPLINARY PROCEEDING No. 2009018076101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While associated with a FINRA member firm, Respondent Blair A. West misused approximately $113,513.68 deposited with his firm by a corporate client As a result, Respondent

Reference 2009018076101data-portal.finra.orgdata-portal.finra.orgfinra.org