UNITED STATES SECURITIES AND EXCHANGE COMMISSION

SEC ADMIN RELEASE 34-72353; IA RELEASE 40-3848, JUNE 9, 2014: THE SEC DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTION 15(B) OF THE SECURITIES EXCHANGE ACT OF 1934 AND SECTION 203(F) OF THE INVESTMENT ADVISERS ACT OF 1940 AGAINST CHRISTOPHER B. MINTZ. IN ANTICIPATION OF THE INSTITUTION OF THESE PROCEEDINGS, MINTZ HAS SUBMITTED AN OFFER OF SETTLEMENT WHICH THE COMMISSION HAS DETERMINED TO ACCEPT. SOLELY FOR THE PURPOSE OF THESE PROCEEDINGS AND ANY OTHER PROCEEDINGS BROUGHT BY OR ON BEHALF OF THE COMMISSION, OR TO WHICH THE COMMISSION IS A PARTY, MINTZ ADMITS THE COMMISSION'S JURISDICTION OVER HIM AND THE SUBJECT MATTER OF THESE PROCEEDINGS, AND THE FINDINGS, AND CONSENTS TO THE ENTRY OF THIS ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 15(B) OF THE SECURITIES EXCHANGE ACT OF 1934 AND SECTION 203(F) OF THE INVESTMENT ADVISERS ACT OF 1940, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS. MINTZ PLED GUILTY TO ONE COUNT OF FRAUD BY AN INVESTMENT ADVISER IN THE CRIMINAL ACTION AGAINST HIM IN VIOLATION OF TITLE 15 UNITED STATES CODE, SECTIONS 80B-6 AND 80B-17 BEFORE THE UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF NORTH CAROLINA (UNITED STATES V. CHRISTOPHER B. MINTZ, DOCKET NO. 5:09-CR-194). MINTZ WAS SENTENCED TO A PRISON TERM OF 48 MONTHS FOLLOWED BY THREE YEARS OF SUPERVISED RELEASE AND ORDERED TO MAKE RESTITUTION IN THE AMOUNT OF $1,237,754.97.

Order

Bar (Permanent)

ALL CAPACITIES

MINTZ IS BARRED FROM ASSOCIATION WITH ANY BROKER, DEALER, INVESTMENT ADVISER, MUNICIPAL SECURITIES DEALER, MUNICIPAL ADVISOR, TRANSFER AGENT, OR NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATION; BARRED FROM PARTICIPATING IN ANY OFFERING OF A PENNY STOCK.

6/9/2014

FINRA

FINRA RULES 2010, 8210, NASD RULES 2110, 2330(A): MINTZ FALSIFIED JOURNAL REQUESTS FOR CUSTOMERS' ACCOUNTS WITHOUT THEIR KNOWLEDGE OR AUTHORIZATION. MINTZ SUBMITTED THE FALSIFIED JOURNAL REQUESTS TO HIS MEMBER FIRM AS AUTHENTIC AND CAUSED SECURITIES TO BE ENTERED FROM THE CUSTOMER ACCOUNTS TO HIS PERSONAL ACCOUNT. MINTZ SOLD THE SECURITIES THAT HAD BEEN FALSELY ENTERED TO HIS ACCOUNT AND CONVERTED THE PROCEEDS IN THE AMOUNT OF $1,054,440.97. MINTZ FAILED TO RESPOND TO FINRA REQUESTS FOR INFORMATION.

Acceptance, Waiver & Consent(AWC)

Bar (Permanent)

All Capacities

7/26/2010

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