Adam James Makkai

01/06/2023: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Adam James Makkai Castle Rock, CO, Respondent. DECISION Complaint No. 2018058924502 Dated: January 6, 2023 Registered representative paid securities transaction-based compensation to an unregistered person. Held, findings affirmed, and sanctions modified. Appearances For the Complainant: John R. Baraniak, Esq., Jennifer L. Crawford, Esq., Michael Manning, Esq., Department of Enforcement,

06/12/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Adam James Makkai (CRD No. 4025159), Respondent. DISCIPLINARY PROCEEDING No. 2018058924502 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between December 2017 and March 2018 (the "Relevant Period"), Adam James Makkai improperly shared approximately $27,000 in commissions with an unregistered person.

06/03/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ADAM JAMES MAKKAI (CRD No. 4025159), Respondent. Disciplinary Proceeding No. 2018058924502 Hearing Officer-MJD HEARING PANEL DECISION Date: June 3, 2021 For paying commissions to an unregistered person, in violation of FINRA Rules 2040 and 2010, Respondent is fined $2,000 and suspended for ten

Reference 2018058924502data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org