John Carris Investments LLC

03/12/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20130372975-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: John Carris Investments LLC, Respondent Broker-Dealer CRD No. 145767 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, John Carris Investments LLC (the "firm" or “JINS”) submits this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing a settlement of the

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01/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORIY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN CARRIS INVESTMENTS, LLC (CRD No. 145767), GEORGE CARRIS, (CRD No. 3079577), ANDREY TKATCHENKO, (CRD No. 2712245), JASON BARTER, (CRD No. 2552583), and RANDY HECHLER, (CRD No. 2292597), Respondents. Disciplinary Proceeding No. 2011028647101 Hearing Officer-MAD AMENDED EXTENDED HEARING PANEL DECISION1 January 20, 2015 Respondents John Carris Investments,

06/07/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, DISCIPLINARY PROCEEDING No. 2011028647101 Complainant, V. John Carris Investments, LLC (CRD No. 145767), George Carris (CRD No. 3079577), XXXXXX XXXXXXXX XXXX XXX XXXXXXXXX EXPEDITED Andrey Tkatchenko (CRD No. 2712245), COMPLAINT XXXXX XXXXXXX XXXX XXX XXXXXXXXX and Jason Barter (CRD No. 2552583), Respondents. The Department of Enforcement alleges: SUMMARY 1. Beginning on or about January 2010, through

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