BERNARDO MISSERI

04/10/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BERNARDO MISSERI (CRD No. 2713297), Respondent. Disciplinary Proceeding No. E1020032138-01 Hearing Officer - DMF ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 10, 2006 INTRODUCTION Disciplinary Proceeding No. E1020032138-01 was filed on August 5, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Bernardo Misseri ("Respondent") submitted an Offer of Settlement ("Offer") to Complainant on March 28, 2006.

Reference E102003213801data-portal.finra.orgfinra.org

01/31/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. BERNARDO MISSERI (CRD No. 2713297), Respondent. DISCIPLINARY PROCEEDING No. 2015046005901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From September 2009 through June 2015 (the "Relevant Period"), Bernardo Misseri ("Respondent") willfully failed to timely disclose four unsatisfied federal tax liens, three unsatisfied state tax warrants and one compromise with a creditor,

03/03/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Bernardo Misseri CRD No. 2713297, ORDER ACCEPTING OFFER OF SETTLEMENT Respondent. Disciplinary Proceeding No. 2015046005901 Hearing Officer KBW Date: March 3, 2017 INTRODUCTION Disciplinary Proceeding No. 2015046005901 was filed on January 31, 2017, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Bernardo Misseri submitted

Reference 2015046005901data-portal.finra.orgfinra.orgdata-portal.finra.org