David Adam Elgart

11/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID ADAM ELGART (CRD No. 825759), Respondent. Disciplinary Proceeding No. 2013035211801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From December 2005 to December 22, 2013, while associated with FINRA member firm Sequoia Investments, Inc. (Sequoia), Respondent David Adam Elgart (Elgart) was subject, at various times, to five unsatisfied tax liens totaling almost

03/16/2017: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. David Adam Elgart Roswell, GA, Respondent. DECISION Complaint No. 2013035211801 Dated: March 16, 2017 Respondent willfully failed to timely update his Form U4 with material information and provided a false answer on a FINRA questionnaire. Held, findings affirmed in part and vacated in part; sanctions affirmed. Appearances For the Complainant: Leo F. Orenstein,

06/02/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID ADAM ELGART (CRD No. 825759), Respondent. Disciplinary Proceeding No. 2013035211801 Hearing Officer-MC HEARING PANEL DECISION June 3, 2016 For willfully failing to timely update his Form U4, Respondent is suspended from associating with any FINRA member firm in any capacity for six months and fined $15,000. His willful violation subjects him to statutory disqualification. For

09/29/2017: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 81779 / September 29, 2017 Admin Proc. File No. 3-17925 In the Matter of the Application of ADAM DAVID ELGART For Review of Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION---REVIEW OF DISCIPLINARY PROCEEDINGS Registered representative of FINRA member firm appeals from FINRA disciplinary action finding that he willfully failed to update Form U4

Reference 2013035211801data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org