FINRA

FINRA RULES 2010, 8210, NASD RULES 2110, 3040: MARK ANDREW SIBERT FAILED TO DISCLOSE HIS PARTICIPATION IN PRIVATE SECURITIES TRANSACTIONS AND LIED TO HIS MEMBER FIRM ABOUT HIS ACTIVITIES IN THESE TRANSACTIONS. SIBERT'S FIRM PROHIBITED ITS REGISTERED REPRESENTATIVES FROM PARTICIPATING IN ANY MANNER IN THE SALE OF ANY SECURITY, REGISTERED OR UNREGISTERED THAT IS NOT PROCESSED THROUGH THE FIRM, WITHOUT PRIOR WRITTEN APPROVAL, BUT SIBERT SOLICITED HIS FIRM'S CUSTOMERS AND POTENTIAL CUSTOMERS TO INVEST IN HIS COMPANY, WHICH WAS PURPORTEDLY RAISING MONIES TO INVEST IN REAL ESTATE DEVELOPMENTS AND GOLD MINING OPERATIONS. SOME OF THESE INDIVIDUALS INVESTED OVER $1 MILLION WITH SIBERT'S COMPANY AND SOME INVESTED OVER $800,000 IN PROMISSORY NOTES. THESE PROMISSORY NOTES WERE SECURITIES, AND SIBERT DID NOT INFORM HIS FIRM THAT HE WAS SELLING AWAY. SIBERT SIGNED AN ANNUAL COMPLIANCE QUESTIONNAIRE FALSELY STATING THAT HE WAS NOT ENGAGING IN PRIVATE SECURITIES TRANSACTIONS. SIBERT FAILED TO PROVIDE WRITTEN NOTICE TO, AND RECEIVE WRITTEN APPROVAL FROM HIS FIRM FOR HIS PARTICIPATION IN PRIVATE SECURITIES TRANSACTIONS. SIBERT FAILED TO FULLY AND TIMELY RESPOND TO FINRA REQUESTS FOR DOCUMENTS AND INFORMATION, AND FAILED TO APPEAR FOR A FINRA TESTIMONY.

Acceptance, Waiver & Consent(AWC)

Bar (Permanent)

All Capacities

3/18/2011

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