Dakota Securities International Inc.

11/08/2017: FINANCIAL INDTJSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bruce Martin Zipper (CRD No. 1019731), and Dakota Securities International, Inc. (CRD No. 132700), Respondents. DISCIPLINARY PROCEEDING NO. 2016047565702 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From May 31, 2017 through August 30, 2016, while statutorily disqualified and suspended in all capacities, Bruce Martin Zipper conducted a securities business

12/21/2020: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 90737 / December 21, 2020 Admin. Proc. File No. 3-19138 In the Matter of the Application of BRUCE ZIPPER and DAKOTA SECURITIES INTERNATIONAL, INC. For Review of Disciplinary Action Taken By FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDING Registered securities association expelled firm from membership in association, and

03/18/2019: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Dakota Securities International, Inc. and Bruce Martin Zipper Miami, FL, Respondents. Decision Complaint No. 2016047565702 Dated: March 18, 2019 Registered person associated with member firm and engaged in activities requiring registration while suspended and statutorily disqualified and

06/18/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. BRUCE MARTIN ZIPPER (CRD No. 1019731) and DAKOTA SECURITIES INTERNATIONAL, INC. (CRD No. 132700), Respondents. Disciplinary Proceeding No. 2016047565702 Hearing Officer—DW HEARING PANEL DECISION June 18, 2018 Respondent Bruce Zipper improperly associated with his firm, Respondent Dakota Securities, during a three-month all-capacities suspension.

03/16/2022: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Dakota Securities International, Inc. and Bruce Martin Zipper Miami, FL, Respondents. Decision Complaint No. 2016047565702 Dated: March 16, 2022 On remand from the Securities and Exchange Commission for redetermination of sanctions. Held, sanctions modified. Appearances For the Complainant: Megan P. Davis, Esq., Department of Enforcement, Financial Industry Regulatory Authority

Reference 2016047565702data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org

03/01/2019: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 85238 / March 1, 2019 Admin. Proc. File No. 3-18382 In the Matter of Application of DAKOTA SECURITIES INTERNATIONAL, INC. For Review of Action Taken By FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF FINRA ACTION FINRA member firm appealed from FINRA action ordering it to pay fees or be

04/22/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035303301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE : Dakota Securities International, Inc. Respondent Member CRD No. 132700 -and- Bruce Martin Zipper, Respondent General Securities Principal CRD No. 1019731. Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Dakota Securities International. Inc. ("DSI") and Bruce Martin Zipper ("Zipper") submit

Reference 2013035303301data-portal.finra.orgdata-portal.finra.orgfinra.org