JOHN B. BUSACCA III

01/16/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN B. BUSACCA III (CRD No. 2302780), Respondent. Disciplinary Proceeding No. E072005017201 Hearing Officer-DMF HEARING PANEL DECISION January 16, 2009 Summary Respondent John B. Busacca III is suspended in all principal capacities for six months and fined $25,000 for failing to exercise reasonable supervision, in violation of Rules 3010 and 2110, and is fined $5,000 for permitting his firm to

12/28/2011: [DO NOT PUBLISH] IN THE UNITED STATES COURT OF APPEALS FOR THE ELEVENTH CIRCUIT No. 10-15918 Non-Argument Calendar FLLED U.S. COURT OF APPEALS ELEVENTH CIRCUIT DECEMBER 28, 2011 JOHN LEY CLERK Agency No. 03-13750 JOHN B. BUSACCA, III, Petitioner, versus SECURITIES AND EXCHANGE COMMISSION, Respondent. Petition for Review of a Decision of the Securities and Exchange Commission (December 28,2011)before TJOFLAT, BARKETT and ANDERSON, Circuit Judges

11/12/2010: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 63312/November 12, 2010 Admin. Proc. File No. 3-13750 In the Matter of the Application of JOHN B. BUSACCA, III 2500 Treymore Drive Orlando, FL 32825 For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDING Failure to Supervise Failure to Comply with Membership and Registration Requirements

Reference E072005017201data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org