D. MICHAEL CRUZ

09/17/2021: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 93052 / September 17, 2021 Admin. Proc. File No. 3-18612 In the Matter of the Application of SCOTTSDALE CAPITAL ADVISORS CORPORATION, JOHN J. HURRY, TIMOTHY B. DIBLASI, and D. MICHAEL CRUZ For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY PROCEEDING FINRA member firm and persons associated with firm appeal from a FINRA disciplinary proceeding

06/20/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. SCOTTSDALE CAPITAL ADVISORS CORPORATION (CRD No. 118786), JOHN J. HURRY (CRD No. 2146449), TIMOTHY B. DIBLASI (CRD No. 4623652), and D. MICHAEL CRUZ (CRD No. 2450344), Respondents. Disciplinary Proceeding No. 2014041724601 Hearing Officer-LOM AMENDED EXTENDED HEARING PANEL DECISION1 June 20, 2017 The Respondent firm violated FINRA Rule 2010 by selling securities without registration and

05/15/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SCOTTSDALE CAPITAL ADVISORS CORPORATION (CRD No. 118786), JOHN J. HURRY (CRD No. 2146449), TIMOTHY B. DIBLASI (CRD No. 4623652), and D. MICHAEL CRUZ (CRD No. 2450344), Respondents. DISCIPLINARY PROCEEDING No. 2014041724601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between December 1, 2013 and June 30, 2014 (the "Relevant Period"), Scottsdale Capital Advisors Corporation

Reference 2014041724601data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org