FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEVIN JOHN HERNE (CRD No. 5320629), Respondent. Disciplinary Proceeding No. 2022076589301 Hearing Officer–LOM DEFAULT DECISION May 22, 2025 Respondent willfully omitted material information from his Form U4 that he was required to disclose. For this misconduct, he is suspended from associating with any FINRA member firm in any capacity for one year and fined $5,000.

In May 2025, Damon refused to produce information and documents requested pursuant to FINRA Rule 8210, in violation of FINRA Rules 8210 and 2010.

Vander Weide failed to provide documents and information requested pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

From June 30, 2020, to August 6, 2024, General Securities failed to disclose its own and its registered representatives’ disciplinary history in the firm’s customer relationship summary (Form CRS) and failed to comply with the instructions for Form CRS. By filing and delivering to customers a Form CRS that omitted required information, General Securities willfully violated Section 17(a)(1) of the Securities Exchange Act of 1934 and Exchange Act Rule 17a-14, and violated FINRA Rule 2010.