FINRA

FINRA RULES 2010, 8210, NASD RULE 2510(B) - DARRELL CURRENT FAILED TO COMPLY WITH FINRA REQUESTS FOR TESTIMONY. CURRENT ADVISED FINRA VERBALLY AND BY EMAIL THAT HE WOULD NOT APPEAR FOR TESTIMONY OR COOPERATE FURTHER WITH FINRA'S INVESTIGATION. CURRENT EXERCISED DISCRETION ON SEVERAL OCCASIONS IN A CUSTOMER'S ACCOUNTS WITH VERBAL BUT NOT THE REQUIRED PRIOR WRITTEN AUTHORIZATION FROM THE CUSTOMER AND WITHOUT THE REQUIRED WRITTEN ACCEPTANCE FROM HIS MEMBER FIRM.

Acceptance, Waiver & Consent(AWC)

Bar (Permanent)

All Capacities

Indefinite

10/29/2013

WITHOUT ADMITTING OR DENYING THE FINDINGS, CURRENT CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS; THEREFORE, HE IS BARRED FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY.

FINRA

SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 17A-3 THEREUNDER, NASD RULES 2110 AND 3110: SHORTLY BEFORE RESIGNING FROM HIS FIRM TO WORK AT ANOTHER MEMBER FIRM, RESPONDENT DARRELL S. CURRENT CAUSED CUSTOMERS RECORDS TO BE ALTERED WITHOUT AUTHORIZATION. CURRENT MADE INACCURATE CHANGES TO CUSTOMER TELEPHONE RECORDS IN ORDER TO SLOW DOWN OTHER REGISTERED REPRESENTATIVES WHO WOULD BE ASSIGNED TO CALL HIS CUSTOMERS AFTER HE RESIGNED. BY CHANGING CUSTOMER TELEPHONE RECORDS, CURRENT CAUSED THE BOOKS AND RECORDS OF HIS FIRM TO BE INACCURATE.

Acceptance, Waiver & Consent(AWC)

Civil and Administrative Penalty(ies)/Fine(s)

$5,000.00

Suspension

ANY CAPACITY

ONE MONTH

4/19/2010

5/18/2010

WITHOUT ADMITTING OR DENYING THE FINDINGS, CURRENT CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, HE IS FINED $5,000 AND SUSPENDED FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY FOR ONE MONTH. THE SUSPENSION IS IN EFFECT FROM APRIL 19, 2010 THROUGH MAY 18, 2010.

WITHOUT ADMITTING OR DENYING THE FINDINGS, CURRENT CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, HE WAS FINED $5,000 AND SUSPENDED FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY FOR ONE MONTH. THE SUSPENSION IS IN EFFECT FROM APRIL 19, 2010 THROUGH MAY 18, 2010.