Rda Financial Network

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
2161106
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
PARKER, BRIAN, DANIEL
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.

This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
FINRA
2.
Principal Sanction:
Suspension
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
10/13/2017
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
2017055973101
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
USA FINANCIAL SECURITIES CORP
6.
Principal Product Type:
Insurance
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
IN AUGUST 2017, PARKER DIRECTED HIS ASSISTANT TO IMPERSONATE A CUSTOMER IN ORDER TO OBTAIN A CHANGE IN BENEFICIARY FORM FOR AN
INSURANCE ACCOUNT THAT THE CUSTOMER HELD DIRECTLY WITH THE INSURANCE COMPANY. BY INSTRUCTING HIS ASSISTANT TO IMPERSONATE THE
CUSTOMER, PARKER ENGAGED IN UNETHICAL CONDUCT IN VIOLATION OF FIN RA RULE 2010. ALSO IN AUGUST 2017, PARKER FORGED A SECOND
CUSTOMER'S INITIALS ON A SUITABILITY FORM AND FALSIFIED A TRANSFER OF ASSETS FORM FOR THAT CUSTOMER'S ACCOUNT; PARKER REUSED A
PREVIOUSLY-EXECUTED SIGNATURE PAGE FROM ANOTHER FORM. BY FORGING THE INITIALS OF THIS CUSTOMER AND FALSIFYING THE FORM IN THE
MANNER NOTED ABOVE, PARKER ALSO ACTED UNETHICALLY IN VIOLATION OF FINRA RULE 2010. A. PARKER CAUSED HIS ASSISTANT TO IMPERSONATE
A CUSTOMER FINRA RULE 2010 REQUIRES ASSOCIATED PERSONS TO "OBSERVE HIGH STANDARDS OF COMMERCIAL HONOR AND JUST AND EQUITABLE
PRINCIPLES OF TRADE." IN AUGUST 2017, ONE OF PARKER'S CUSTOMERS, MP, REQUESTED A CHANGE TO THE DESIGNATED BENEFICIARY ON AN
INSURANCE POLICY SHE HELD DIRECTLY WITH THE POLICY ISSUER. IN ORDER TO OBTAIN MP'S POLICY INFORMATION AND THE FORM THAT WOULD
NEED TO BE COMPLETED TO CHANGE THE BENEFICIARY DESIGNATION, PARKER DIRECTED HIS ASSISTANT TO OBTAIN THAT INFORMATION BY
IMPERSONATING THE CUSTOMER. SPECIFICALLY, PARKER INSTRUCTED THE ASSISTANT TO HAVE ALL OF MP'S PERSONAL CONFIDENTIAL INFORMATION
IN FRONT OF HER, INCLUDING MP'S BIRTHDATE, SOCIAL SECURITY NUMBER AND ADDRESS, AND TO EXPLICITLY MISREPRESENT TO THE INSURANCE
CARRIER THAT SHE WAS MP. WHILE PARKER WAS OBTAINING THIS INFORMATION AS AN ACCOMMODATION TO MP, HE EXPLICITLY INSTRUCTED HIS
ASSISTANT TO "GET AROUND" THE INSURANCE COMPANY'S PRIVACY POLICIES BY PRETENDING TO BE MP. AT PARKER'S DIRECTION HIS ASSISTANT
CARRIED OUT HIS DIRECTIONS. BY VIRTUE OF THE FOREGOING, PARKER ACTED UNETHICALLY AND FAILED TO OBSERVE HIGH STANDARDS OF
COMMERCIAL HONOR AND JUST AND EQUITABLE PRINCIPALS OF TRADE, IN VIOLATION OF FIN RA RULE 2010. ON JULY 26, 2017, ANOTHER OF
PARKER'S CUSTOMERS, DM, SIGNED AN APPLICATION TO PURCHASE AN EQUITY INDEXED ANNUITY. USA FINANCIAL REJECTED THAT APPLICATION ON
AUGUST 3, 2017, BECAUSE CERTAIN REQUIRED FORMS WERE EITHER MISSING OR INCOMPLETE. SPECIFICALLY, THE APPLICATION INCLUDED AN
INCOMPLETE "FIXED INDEXED ANNUITY ACKNOWLEDGMENT" FORM AND THE REQUIRED CUSTOMER SUITABILITY PROFILE FORM WAS NOT SUBMITTED.
IN ADDITION, A REQUIRED "TRANSFER OF ASSETS" FORM WAS COMPLETED BUT NOT SIGNED BY DM. PARKER MET WITH DM THE FOLLOWING DAY TO
HAVE HIM COMPLETE AND EXECUTE ALL OF THE REQUIRED FORMS, BUT LATER DISCOVERED THAT DM HAD FAILED TO INITIAL THE CUSTOMER
SUITABILITY PROFILE FORM. AFTER DISCUSSING THIS OMISSION WITH DM, PARKER INITIALED THE FORM FOR HIM, AS DM HAD REQUESTED. PRIOR TO
RE-SUBMITTING THE NEW APPLICATION AND THE NEWLY-COMPLETED AND EXECUTED FORMS TO THE FIRM, PARKER COULD NOT LOCATE THE NEWLY-
COMPLETED TRANSFER OF ASSETS FORM. PARKER DID NOT DISCUSS THIS MISSING FORM WITH DM AND DID NOT HAVE DM COMPLETE AND EXECUTE A
NEW TRANSFER OF ASSETS FORM. INSTEAD, PARKER COMPLETED A NEW TRANSFER OF ASSETS FORM HIMSELF. HE THEN ATTACHED THE SIGNATURE
PAGE FROM DM'S EARLIER, REJECTED APPLICATION. AFTER ATTACHING THE PREVIOUSLY EXECUTED SIGNATURE PAGE TO THE TRANSFER OF ASSETS
FORM, PARKER DIRECTED HIS ASSISTANT TO SUBMIT THE FORMS FOR PROCESSING. NO ASSETS WERE TRANSFERRED AGAINST DM'S DIRECTION. BY
VIRTUE OF THE FOREGOING, PARKER FAILED TO OBSERVE HIGH STANDARDS OF COMMERCIAL HONOR AND JUST AND EQUITABLE PRINCIPLES OF
TRADE, IN VIOLATION OFFINRA RULE 2010.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Acceptance, Waiver & Consent(AWC)
11. Resolution Date (MM/DD/YYYY):
10/01/2019
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 10,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
FINRA - ALL CAPACITIES FOR FOUR MONTHS 10/7/2019 THROUGH 02/6/2020.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
FINRA HAS STATED THEY DON'T EXPECT BRIAN TO PAY THE FINE UNLESS HE WOULD REQUEST TO BE REGISTERED WITH FINRA AGAIN.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
IN AUGUST 2017, PARKER DIRECTED HIS ASSISTANT TO IMPERSONATE A CUSTOMER IN ORDER TO OBTAIN A CHANGE IN BENEFICIARY FORM FOR AN
INSURANCE ACCOUNT THAT THE CUSTOMER HELD DIRECTLY WITH THE INSURANCE COMPANY. BY INSTRUCTING HIS ASSISTANT TO IMPERSONATE THE
CUSTOMER, PARKER ENGAGED IN UNETHICAL CONDUCT IN VIOLATION OF FIN RA RULE 2010. ALSO IN AUGUST 2017, PARKER FORGED A SECOND
CUSTOMER'S INITIALS ON A SUITABILITY FORM AND FALSIFIED A TRANSFER OF ASSETS FORM FOR THAT CUSTOMER'S ACCOUNT; PARKER REUSED A
PREVIOUSLY-EXECUTED SIGNATURE PAGE FROM ANOTHER FORM. BY FORGING THE INITIALS OF THIS CUSTOMER AND FALSIFYING THE FORM IN THE
MANNER NOTED ABOVE, PARKER ALSO ACTED UNETHICALLY IN VIOLATION OF FINRA RULE 2010. A. PARKER CAUSED HIS ASSISTANT TO IMPERSONATE
A CUSTOMER FINRA RULE 2010 REQUIRES ASSOCIATED PERSONS TO "OBSERVE HIGH STANDARDS OF COMMERCIAL HONOR AND JUST AND EQUITABLE
PRINCIPLES OF TRADE." IN AUGUST 2017, ONE OF PARKER'S CUSTOMERS, MP, REQUESTED A CHANGE TO THE DESIGNATED BENEFICIARY ON AN
INSURANCE POLICY SHE HELD DIRECTLY WITH THE POLICY ISSUER. IN ORDER TO OBTAIN MP'S POLICY INFORMATION AND THE FORM THAT WOULD
NEED TO BE COMPLETED TO CHANGE THE BENEFICIARY DESIGNATION, PARKER DIRECTED HIS ASSISTANT TO OBTAIN THAT INFORMATION BY
IMPERSONATING THE CUSTOMER. SPECIFICALLY, PARKER INSTRUCTED THE ASSISTANT TO HAVE ALL OF MP'S PERSONAL CONFIDENTIAL INFORMATION
IN FRONT OF HER, INCLUDING MP'S BIRTHDATE, SOCIAL SECURITY NUMBER AND ADDRESS, AND TO EXPLICITLY MISREPRESENT TO THE INSURANCE
CARRIER THAT SHE WAS MP. WHILE PARKER WAS OBTAINING THIS INFORMATION AS AN ACCOMMODATION TO MP, HE EXPLICITLY INSTRUCTED HIS
ASSISTANT TO "GET AROUND" THE INSURANCE COMPANY'S PRIVACY POLICIES BY PRETENDING TO BE MP. AT PARKER'S DIRECTION HIS ASSISTANT
CARRIED OUT HIS DIRECTIONS. BY VIRTUE OF THE FOREGOING, PARKER ACTED UNETHICALLY AND FAILED TO OBSERVE HIGH STANDARDS OF
COMMERCIAL HONOR AND JUST AND EQUITABLE PRINCIPALS OF TRADE, IN VIOLATION OF FIN RA RULE 2010. ON JULY 26, 2017, ANOTHER OF
PARKER'S CUSTOMERS, DM, SIGNED AN APPLICATION TO PURCHASE AN EQUITY INDEXED ANNUITY. USA FINANCIAL REJECTED THAT APPLICATION ON
AUGUST 3, 2017, BECAUSE CERTAIN REQUIRED FORMS WERE EITHER MISSING OR INCOMPLETE. SPECIFICALLY, THE APPLICATION INCLUDED AN
INCOMPLETE "FIXED INDEXED ANNUITY ACKNOWLEDGMENT" FORM AND THE REQUIRED CUSTOMER SUITABILITY PROFILE FORM WAS NOT SUBMITTED.
IN ADDITION, A REQUIRED "TRANSFER OF ASSETS" FORM WAS COMPLETED BUT NOT SIGNED BY DM. PARKER MET WITH DM THE FOLLOWING DAY TO
HAVE HIM COMPLETE AND EXECUTE ALL OF THE REQUIRED FORMS, BUT LATER DISCOVERED THAT DM HAD FAILED TO INITIAL THE CUSTOMER
SUITABILITY PROFILE FORM. AFTER DISCUSSING THIS OMISSION WITH DM, PARKER INITIALED THE FORM FOR HIM, AS DM HAD REQUESTED. PRIOR TO
RE-SUBMITTING THE NEW APPLICATION AND THE NEWLY-COMPLETED AND EXECUTED FORMS TO THE FIRM, PARKER COULD NOT LOCATE THE NEWLY-
COMPLETED TRANSFER OF ASSETS FORM. PARKER DID NOT DISCUSS THIS MISSING FORM WITH DM AND DID NOT HAVE DM COMPLETE AND EXECUTE A
NEW TRANSFER OF ASSETS FORM. INSTEAD, PARKER COMPLETED A NEW TRANSFER OF ASSETS FORM HIMSELF. HE THEN ATTACHED THE SIGNATURE
PAGE FROM DM'S EARLIER, REJECTED APPLICATION. AFTER ATTACHING THE PREVIOUSLY EXECUTED SIGNATURE PAGE TO THE TRANSFER OF ASSETS
FORM, PARKER DIRECTED HIS ASSISTANT TO SUBMIT THE FORMS FOR PROCESSING. NO ASSETS WERE TRANSFERRED AGAINST DM'S DIRECTION. BY
VIRTUE OF THE FOREGOING, PARKER FAILED TO OBSERVE HIGH STANDARDS OF COMMERCIAL HONOR AND JUST AND EQUITABLE PRINCIPLES OF
TRADE, IN VIOLATION OF FINRA RULE 2010.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Item 11.H. of Part
1A or Item 2.F. of Part 1B of Form ADV.
Civil Judicial
Check Part 1A item(s) being responded to:
11.H(1)(a)
11.H(1)(b)
11.H(1)(c)
11.H(2)

Check Part 1B item(s) being responded to:
2.F(1)
2.F(2)
2.F(3)
2.F(4)
2.F(5)
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page.
One event may result in more than one affirmative answer to Item 11.H. of Part 1A or Item 2.F. of Part 1B. Use only one DRP to report details related to the
same event. Unrelated civil judicial actions must be reported on separate DRPs.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
2161106
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
PARKER, BRIAN, DANIEL
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.H.
(1)(a), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.) 
2.
Principal Relief Sought:
Other Relief Sought: 
3.
Filing Date of Court Action (MM/DD/YYYY):
 Exact
 Explanation
If not exact, provide explanation:
4.
Principal Product Type:
Other Product Types: 
5.
Formal Action was brought in (include name of Federal, State or Foreign Court, Location of Court - City or County and State or Country, Docket/Case
Number): 

6.
Advisory Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable): 
7.
Describe the allegations related to this civil action (your response must fit within the space provided): 
8.
Current Status? 
 Pending
 On Appeal
 Final
9.
If on appeal, action appealed to (provide name of court) and Date Appeal Filed (MM/DD/YYYY): 
10. If pending, date notice/process was served (MM/DD/YYYY):
 Exact
 Explanation
If not exact, provide explanation:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.
11. How was matter resolved:
12. Resolution Date (MM/DD/YYYY): 
 Exact
 Explanation
If not exact, provide explanation:
13. Resolution Detail:
A.  Were any of the following Sanctions Ordered or Relief Granted(check appropriate items)?
Monetary/Fine Amount: $
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions:
C.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement, or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived:
14. Provide a brief summary of circumstances related to the action(s), allegation(s), disposition(s) and/or finding(s) disclosed above (your response must
fit within the space provided).