Administrative Proceeding File No. 3-14810

Respondents

Plunkett, John J.


Release Date	Release Number	Name of Document
Sept. 16, 2014	34-73124	For Review of Disciplinary Action Taken by Finra
Feb. 21, 2014	34-71600	Order Scheduling Briefs
June 14, 2013	34-69766	OPINION OF THE COMMISSION


Release Date	Release Number	Other Release Numbers	Name of Document
March 21, 2012			Application for Review
May 7, 2012			Applicant's "Brief in Support" of Application for Review
June 6, 2012			Finra's Brief in Opposition to Application for Review, with Appendix A-C
June 20, 2012			Applicant's Reply Brief
Jan. 22, 2014			Application for Review (On Remand)
March 24, 2014			Applicant's Brief in Support of Application for Review, with Attachments 1-7. (On Remand)
April 23, 2014			FINRA's Brief in Opposition to Application for Review. (On Remand)
May 7, 2014			Applicant's Reply Brief in Support of His Application for Review
Feb. 21, 2014			Order Scheduling Briefs
Sept. 16, 2014			For Review of Disciplinary Action Taken by Finra