Proceeding Number 20120321124-01

Hearing Panel Decision in Department of Enforcement v. Gregg Charles Lorenzo

September 27, 2013

Respondent is barred from associating with any member firm in any capacity for willfully failing to timely amend his Form U4 to disclose an SEC investigation, in violation of FINRA Rules 1122 and 2010, and FINRA By-Laws Article V, Section 2(c), and refusing to appear for an on-the-record interview, in violation of FINRA Rules 8210 and 2010. Because the Form U4 violation was willful, Respondent is statutorily disqualified. Respondent is also ordered to pay costs.

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