BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Austin Wayne Morton Spiro, OK, Respondent. DECISION Complaint No. 2016052347901 Dated: May 15, 2019 FINRA staff did not provide by a preponderance of evidence that a registered representative engaged in conversion. Held, findings affirmed and case dismissed.

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