CAPWEST SECURITIES INC.

12/19/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CAPWEST SECURITIES, INC. (CRD No. 30002), Respondent. Disciplinary Proceeding No. 2007010158001 Hearing Officer - MC HEARING PANEL DECISION December 19, 2011 For violating content standards applicable to communications with the public regarding investments, in violation of NASD Conduct Rules 2110 and 2210, Respondent CapWest Securities, Inc. is censured and fined $150,000. For failing to implement

01/17/2014: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 71340 / January 17, 2014 Admin. Proc. File No. 3-15259 In the Matter of the Application of CAPWEST SECURITIES, INC. c/o H. Thomas Fehn, Esq. Fields, Fehn & Sherwin 1175 Wilshire Boulevard, 15th Floor Los Angeles, CA 90025 For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF DISCIPLINARY PROCEEDING Failure to Comply with Advertising Rules Failure to

02/25/2013: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. CapWest Securities, Inc. Lakewood, CO, Respondent. DECISION Complaint No. 2007010158001 Dated: February 25, 2013 Respondent violated the content standards that apply to FINRA member communications with the public and failed to supervise effectively the use of advertisements and sales literature. Held, findings affirmed and sanctions modified in part. Appearances

Reference 2007010158001data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org