Austin Wayne Morton

03/14/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. AUSTIN WAYNE MORTON (CRD No. 5538108), Disciplinary Proceeding No. 2016052347901 Hearing Officer-RES HEARING PANEL DECISION March 14, 2018 Department of Enforcement did not meet its burden of proof that Respondent committed conversion or that Respondent was compensated for allegedly engaging in an undisclosed outside business activity. Appearances For the Complainant: Michael J. Rogel, Esq.

05/15/2019: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Austin Wayne Morton Spiro, OK, Respondent. DECISION Complaint No. 2016052347901 Dated: May 15, 2019 FINRA staff did not provide by a preponderance of evidence that a registered representative engaged in conversion. Held, findings affirmed and case dismissed.

02/24/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. AUSTIN WAYNE MORTON (CRD No. 5538108), RESPONDENT. DISCIPLINARY PROCEEDING No. 2016052347901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In September and October 2016, Austin Wayne Morton violated FINRA Rule 2010 by converting atotal of $36,000 from an 82-year-old former customer with dementia (Customer A). 2. Morton first took $20,000 in cash from Customer A in September

Reference 2016052347901data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org