Charles Scott Burford

06/04/2025: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 103180 / June 4, 2025 Admin. Proc. File No. 3-21915 In the Matter of the Application of CHARLES SCOTT BURFORD For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION — REVIEW OF DISCIPLINARY PROCEEDING Person formerly associated with FINRA member firm appeals from FINRA disciplinary action finding that he effected unauthorized transactions in deceased customer's account, suspending him for six months, and imposing a $10,000 fine. Held, FINRA's findings of violations and imposition of sanctions are sustained.

03/14/2024: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, DECISION Complainant, Complaint No. 2019064656601 vs. Charles Scott Burford Dallas, Texas, Dated: March 14, 2024 Respondent. Respondent executed unauthorized trades in, and facilitated unauthorized withdrawals from, his deceased customer’s account. Held, findings and sanctions affirmed. Appearances For the Complainant: Jennifer L. Crawford, Esq., Corinna Provey, Esq., Financial Industry Regulatory Authority For the Respondent: Charles Scott Burford, pro se

09/22/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Charles Scott Burford CRD No. 1658201, Respondent. Disciplinary Proceeding No. 2019064656601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Charles Scott Burford, a former registered representative with Hilltop Securities Independent Network, Inc. (Hilltop, now know as Momentum Independent Network, Inc.),

07/07/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHARLES SCOTT BURFORD (CRD No. 1658201), Respondent. Disciplinary Proceeding No. 2019064656601 Hearing Officer–BEK HEARING PANEL DECISION July 7, 2022 Respondent is fined $10,000 and suspended from associating with any FINRA member in any capacity for six months for executing unauthorized trades in, and facilitating unauthorized withdrawals from, his deceased customer’s account. Appearances For the Complainant:

Reference 2019064656601data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org