On January 28, 2025, McLendon refused 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.

FINRA's Trade Reporting and Compliance Engine (TRACE) facilitates the mandatory reporting of certain securities transactions and provides increased price transparency to market participants and investors. From February 2022 through February 2023, Stonecrest failed to re-report 96 TRACE-eligible transactions after they were rejected by TRACE. The firm also inaccurately reported an additional 35 transactions to TRACE.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES IANNAZZO (CRD No. 2807988), Respondent. Disciplinary Proceeding No.

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEITH C. BARON (CRD No. 3231494), Respondent. Disciplinary Proceeding No. 2022073772701 Hearing Officer–RES EXTENDED HEARING PANEL DECISION January 15, 2025 Respondent Keith C.