JOHN M. E. SAAD

05/26/2010: OFFICE OF THE SECRETARY SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 62178/May 26,2010 Admin. Proc, File No. 3-13678 In the Matter of the Application of JOHN M.E. SAAD Law Office of Gregory Bartko, LLC c/o Gregory Bartko, Esq. 3475 Lenox Road, Suite 400 Atlanta, GA 30326

08/19/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN M. E. SAAD (CRD No. 2185911), Respondent. Disciplinary Proceeding No. 2006006705601 PANEL DECISION Hearing Officer-SW Dated; August 19, 2008 Respondent is barred in all capacities from associating with any FINRA member for converting the funds of his employer, in violation of NASD Conduct Rule 2110. Appearances

03/16/2015: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORIY In the Matter of Department of Enforcement, Complainant, vs. John M.E. Saad Atlanta, GA, Respondent. DECISION Complaint No. 2006006705601R Dated: March 16, 2015 On remand from the SEC for reconsideration of sanctions. Held, respondent barred for violations of NASD Rule 2110. Appearances For the Complainant: Leo F. Orenstein, Esq., Department of Enforcement, Financial Industry Regulatory Authority For the Respondent:

08/23/2019: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 86751 / August 23, 2019 Admin. Proc. File No. 3-13678r In the Matter of the Application of JOHN M.E. SAAD For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDING Court of appeals remanded matter to the Commission after Commission sustained FINRA disciplinary action for Commission to determine in the first instance whether

10/13/2017: United States Court of Appeals FOR THE DISTRICT OF COLUMBIA CIRCUIT Argued March 16, 2017 Decided October 13, 2017 No. 15-1430 JOHN M.E. SAAD, PETITIONER v. SECURITIES AND EXCHANGE COMMISSION, RESPONDENT On Petition for Review of an Order of the Securities & Exchange Commission Sara E. Kropf argued the cause for petitioner. With her on the briefs was Steven Nathan Berk. Dina B. Mishra, Attorney, U.S. Securities and Exchange Commission, argued the cause for respondent.

10/08/2015: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 76118 / October 8, 2015 Admin. Proc. File No. 3-13678r In the Matter of the Application of JOHN M.E. SAAD For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY PROCEEDINGS Misappropriation Associated person of member firm barred, in remanded proceedings, based on earlier findings that he misappropriated member firm's funds

11/06/2020: United States Court of Appeals FOR THE DISTRICT OF COLUMBIA CIRCUIT Argued September 24, 2020 Decided November 6, 2020 No. 19-1214 John M.E. Saad, Petitioner v. Securities and Exchange Commission, Respondent On Petition for Review of an Order of the Securities and Exchange Commission Sarah Levine argued the cause for petitioner. With her on the briefs was Alex Potapov. Dina B. Mishra, Senior Counsel, Securities and Exchange Commission, argued the cause for respondent. With her on the brief was John IV. Avery, Deputy Solicitor. Michael A. Conley, Solicitor, entered an appearance. Before: Tatel, Pillard, and Wilkins, Circuit Judges.

Reference 2006006705601data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org