Daniel Keith Beech

12/18/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel Keith Beech CRD No. 6169844, Respondent. Disciplinary Proceeding No. 2022076391701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between May 2016 and at least January 2023 (the “Relevant Period”), Daniel Keith Beech improperly paid commissions of approximately $900,000, directly and indirectly, to an unregistered person (“Individual A”), who was required to be registered at the time of the payments. Accordingly, Beech violated FINRA Rules 2040 and 2010.

07/22/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2022076391701 Hearing Officer—LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 22, 2024 Department of Enforcement, Complainant, v. Daniel Keith Beech CRD No. 6169844, Respondent. INTRODUCTION Disciplinary Proceeding No. 2022076391701 was filed on December 18, 2023, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Daniel Keith Beech submitted an Offer of Settlement (Offer) to Complainant dated July 18, 2024. Pursuant to FINRA Rule 9270(e), the Complainant and the National Adjudicatory Council (NAC), a Review Subcommittee of the NAC, or the Office of Disciplinary Affairs (ODA) have accepted the uncontested Offer. Accordingly, this Order now is issued pursuant to FINRA Rule 9270(e)(3). The findings, conclusions and sanctions set forth in this Order are those stated in the Offer as accepted by the Complainant and approved by the NAC.

Reference 2022076391701data-portal.finra.orgdata-portal.finra.orgfinra.org