John A. Orlando

03/31/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John A. Orlando CRD No. 2002197, Disciplinary Proceeding No. 2019063633301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From September 2016 through July 2019, Respondent John A. Orlando, while associated with Westpark Capital, Inc., churned and excessively traded Customer A’s account. Orlando repeatedly recommended that Customer A make large share purchases of initial public offerings (IPOs) and secondary offerings of companies that Westpark was offering as a member of the selling group. Within days—and sometimes on the same day—of Customer A’s purchases, Orlando would recommend that Customer A begin liquidating his positions, frequently realizing immediate losses.

08/05/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John A. Orlando CRD No. 2002197, Respondent Disciplinary Proceeding No. 2019063633301 Hearing Officer—RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 5, 2022 INTRODUCTION Disciplinary Proceeding No. 2019063633301 was filed on March 31, 2022, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent John A. Orlando submitted an Offer of Settlement (Offer) to Complainant dated August 4, 2022. Pursuant to FINRA Rule 9270(e), the Complainant and the National Adjudicatory Council (NAC), a Review Subcommittee of the NAC, or the Office of Disciplinary Affairs (ODA) have accepted the uncontested Offer. Accordingly, this Order now is issued pursuant to FINRA Rule 9270(e)(3). The findings, conclusions and sanctions set forth in this Order are those stated in the Offer as accepted by the Complainant and approved by the NAC.

Reference 2019063633301data-portal.finra.orgfinra.orgdata-portal.finra.org