Kim Monchik and John Lowry are each fined $20,000 and suspended in all capacities for two years for violating FINRA Rules 8210 and 2010 by failing to respond timely to requests for documents and information issued pursuant to FINRA Rule 8210. Lowry is also fined $30,000 and suspended for two years in all principal capacities for violating FINRA Rules 3110(a) and 2010 by failing to supervise and failing to maintain a reasonable supervisory system to ensure compliance with FINRA Rule 8210.

Respondent is barred from associating with any FINRA member firm in any capacity for failing to appear for on-the-record testimony requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010.