ANTHONY DIAZ

05/27/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANTHONY DIAZ (CRD No. 4131948), Respondent. DISCIPLINARY PROCEEDING No. 2011030254902 HEARING OFFICER-CC ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 27, 2015 INTRODUCTION Disciplinary Proceeding No. 2011030254902 was filed on August 6, 2014 and amended on November 5, 2014 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).

08/03/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANTHONY DIAZ (CRD No. 4131948), Respondent. DISCIPLINARY PROCEEDING No. 2011030254902 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period March 2010 through May 2011, Respondent Anthony Diaz induced approximately eighty customers to enter into variable annuity exchanges, often subject to significant surrender charges, without a reasonable

Reference 2011030254902data-portal.finra.orgfinra.orgdata-portal.finra.org

03/09/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Anthony Diaz (CRD No. 4131948), Respondent. DISCIPLINARY PROCEEDING No. 2012034112402 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From on or about May 31, 2012 to on or about September 21, 2012, while registered with FINRA through an association with Sandlapper Securities, LLC (BD. No. 137906) ("Sandlapper" or the "firm"), Respondent Anthony Diaz ("Diaz") knowingly allowed

Reference 2012034112402finra.orgdata-portal.finra.org