DANIEL W. BUKOVCIK

06/14/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. DANIEL W. BUKOVCIK Limited Registered Representative (CRD No. 1684170) Respondent Disciplinary Proceeding No. C8A050055 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Between in or about July 2002 and in or about May 2003, Daniel W. Bukovcik ("Respondent") was registered as an Investment Company and Variable Contracts Products Representative with Woodbury Financial Services, Inc. ("Member"),

07/12/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL W. BUKOVCIK (CRD No. 1684170), Respondent. Disciplinary Proceeding No. C8A20050055 HEARING PANEL DECISION Hearing Officer-SW Date: July 12, 2006 Respondent violated NASD Conduct Rule 2110 by affixing the signatures of 48 different customers, without their prior written authorization, to 166 different account documents. For this violation, Respondent

07/25/2007: BEFORE THE NATIONAL ADJUDICATORY COUNCIL In the Matter of Department of Enforcement, Complainant, vs. Daniel W. Bukovcik DeWitt, MI, Respondent. DECISION Complaint No. C8A050055 Dated July 25, 2007 Respondent's signing of customer names to account documents violated NASD rules. Held, findings and sanctions modified. Appearances For the Complainant: Leo F. Orenstein, Esq., Department of Enforcement, NASD For the Respondent: Brian J. Masternak, Esq. Decision We called this matter for review pursuant to NASD

Reference C8A20050055data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org