JOHN DEREK LANE

01/27/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010020872301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Derek Lane, Respondent General Securities Principal CRD No. 301717 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2010020872301data-portal.finra.orgfinra.org

12/31/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John Derek Lane (CRD No. 301717), Respondent. DISCIPLINARY PROCEEDING No. 2011025437302 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent John Derek Lane served as his member firm's President and was responsible for supervising all of the firm's associated persons. During the period January 25, 2011 through May 9, 2011 (the "Relevant Period"), Lane permitted RKG, an associated

01/14/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John Derek Lane (CRD No. 301717), Respondent. DISCIPLINARY PROCEEDING No. 2011025437302 Hearing Officer - MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 14, 2014 INTRODUCTION Disciplinary Proceeding No. 2011025437302 was filed on December 31, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent John Derek Lane submitted an

Reference 2011025437302data-portal.finra.orgdata-portal.finra.orgfinra.org