NOTE: Stipulations of Fact and Consent to Penalty (SFC); Offers of Settlement (OS); and Letters of Acceptance Waiver, and Consent (AWC) are entered into by Respondents without admitting or denying the allegations, but consent is given to the described sanctions & to the entry of findings. Additionally, for AWCs, if FINRA has reason to believe a violation has occurred and the member or associated person does not dispute the violation, FINRA may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing before a hearing panel, and any right of appeal to the National Adjudicatory Council, the SEC, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. The letter shall describe the act or practice engaged in or omitted, the rule, regulation, or statutory provision violated, and the sanction or sanctions to be imposed.

Brian Simone
OS/2008016024701

Simone willfully failed to disclose material information on his initial Form U4 with a member firm and willfully failed to amend his Form U4 with the firm to disclose the material fact. Simone provided false information on another member firm’s employment application. Simone failed to disclose that he was unemployed for a period of time. With the second firm, Simone willfully disclosed false and misleading material information regarding his employment history on the initial Form U4 that he submitted or caused to be submitted, and willfully failed to amend his Form U4 to correct the false, material information. Simone submitted, or caused to be submitted, a false written statement to a state’s securities division through his firm that provided misleading information.

Brian Simone: Barred