Stockbroker Sanctioned For Nondisclosure Of Expunged Criminal Charges

For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Ryan B. Braun submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. In the Matter of Ryan B. Braun, Respondent (AWC 2011029295, September 25, 2012).