GARDNYR MICHAEL CAPITAL INC.

12/19/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, vs. Gardnyr Michael Capital, Inc. (CRD No. 30520), Anthony A. Grey (CRD No. 709788), James M. Pietkiewicz (CRD No. 1317032), and Respondents. Disciplinary Proceeding No. 2009016034101 Hearing Officer - LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 19,2012 INTRODUCTION Disciplinary Proceeding No. 2009016034101 was filed on December 2, 2011, by the Department of Enforcement of the

12/02/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, vs. GARDNYR MICHAEL CAPITAL, INC. (CRD No. 30520), ANTHONY A. GREY (CRD No. 709788), Respondents. Disciplinary Proceeding No. 2009016034101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In ten transactions with retail customers between October 2008 and July 2009, Gardnyr Michael Capital, Inc. ("GMCI"), through Anthony A. Grey

Reference 2009016034101data-portal.finra.orgfinra.orgdata-portal.finra.org

01/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GARDNYR MICHAEL CAPITAL, INC. (CRD No. 30520), and PFILIP GARDNYR HUNT, JR. (CRD No. 1613985), Respondents. Disciplinary Proceeding No. 2011026664301 Hearing Officer - MC AMENDED HEARING PANEL DECISION January 28, 2014 Respondent Gardnyr Michael Capital, Inc. ("GMCI") willfully violated MSRB Rule G-17 when, in connection with bond rating trips, it improperly sought and received reimbursements from

Reference 2011026664301data-portal.finra.orgfinra.org