David B. Tysk

03/05/2021: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 91268 / March 5, 2021 Admin. Proc. File No. 3-17294r In the Matter of the Application of DAVID B. TYSK For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDING Registered representative formerly associated with a FINRA member firm appeals from findings that he engaged in conduct inconsistent with just and equitable

03/11/2019: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. David B. Tysk Eden Prairie, MN, Respondent. DECISION Complaint No. 2010022977801r Dated: March 11, 2019 Respondent altered notes of customer communications and produced misleading evidence in arbitration. Held, findings and sanctions reaffirmed. Appearances For the Complainant: Leo F. Orenstein, Esq., Danielle I. Schanz, Esq.,

Reference 2010022977801rdata-portal.finra.orgdata-portal.finra.orgfinra.org

05/16/2016: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, VS. David B. Tysk Eden Prairie, MN, Respondent. DECISION Complaint No. 2010022977801 Dated: May 16, 2016 Respondent materially altered computer notes of customer-related information subsequent to a customer complaint, and failed to disclose his alterations when he produced a copy of the notes as discovery in an arbitration proceeding

03/01/2017: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 80135 / March 1, 2017 Admin. Proc. File No. 3-17294 In the Matter of the Application of DAVID B. TYSK For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION REVIEW OF DISCIPLINARY PROCEEDING Conduct Inconsistent with Just and Equitable Principles of Trade FINRA found that registered representative of FINRA member firm engaged in conduct inconsistent with just

10/13/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. AMERIPRISE FINANCIAL SERVICES, INC. (BD No. 6363), and DAVID B. TYSK (CRD No. 1782289), Respondents. Disciplinary Proceeding No. 2010022977801 Hearing Officer - MC. EXTENDED HEARING PANEL DECISION. October 13, 2014. By altering computer notes of customer contacts after the customer complained about the suitability of a recommendation, and failing to inform his firm of the alterations when he

Reference 2010022977801data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org