Howard Brian Landers

12/23/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060415301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Howard Brian Landers, Respondent Former General Securities Principal CRD No. 1233612 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Howard Brian Landers submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

Reference 2018060415301finra.orgdata-portal.finra.org

09/30/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Howard Brian Landers (CRD No. 1233612), Respondent. Disciplinary Proceeding No. 2013035298602 Hearing Officer - DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 30,2016 INTRODUCTION Disciplinary Proceeding No. 2013035298602 was filed on March 21,2016 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Howard Brian Landers

03/21/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Howard Brian Landers (CRD No. 1233612), Respondent. DISCIPLINARY PROCEEDING No. 2013035298602 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period from September 2012 through June 2014, Howard Brian Landers (''Landers") willfully failed to timely amend his Uniform Application for Securities Industry Registration or Transfer ("Form U4") to disclose four unsatisfied

Reference 2013035298602data-portal.finra.orgfinra.orgdata-portal.finra.org