FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Datesort ascending
Case ID 2006005158309 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, COMPLAINANT, v. GFI SECURITIES LLC (CRD No. 19982), MICHAEL SCOTT BABCOCK (CRD No. 2450869), STEPHEN FALLETTA (CRD No. 2880335), DONALD PATRICK FEWER (CRD No. 1415123), STEPHEN LOUIS SCOTTO (CRD No. 2547858), and LAINEE DALE STEINBERG (CRD No. 2376426), RESPONDENTS. Disciplinary Proceeding No. 20060051583 HEARING OFFICER COMPLAINT The Department of Market Regulation alleges: SUMMARY 1. This case Document Type Complaints Firms/ Individuals
GFI SECURITIES LLC
DONALD PATRICK FEWER, STEPHEN LOUIS SCOTTO, STEPHEN FALLETTA, LAINEE DALE STEINBERG, MICHAEL SCOTT BABCOCK
Action Date 09/27/2010
Case ID 2006005158309 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Stephen Falletta (CRD No. 2880335), and Lainee Dale Steinberg (CRD No. 2376426) Respondents. Disciplinary Proceeding No. 20060051583 Hearing Officer: RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 16, 2012 INTRODUCTION Disciplinary Proceeding No. 20060051583 was filed on September 27, 2010, by the Department of Market Regulation of the Financial Industry Regulatory Authority Document Type Orders Accepting Offers of Settlement Firms/ Individuals
STEPHEN FALLETTA, LAINEE DALE STEINBERG
Action Date 03/16/2012
Case ID 2006005158309 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Michael Scott Babcock (CRD No. 2450869), Respondent. Disciplinary Proceeding No. 20060051583 Hearing Officer: RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 16, 2012 INTRODUCTION Disciplinary Proceeding No. 20060051583 was filed on September 27, 2010, by the Department of Market Regulation of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Michael Document Type Orders Accepting Offers of Settlement Firms/ Individuals
MICHAEL SCOTT BABCOCK
Action Date 03/16/2012
Case ID 2006005158309 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, COMPLAINANT, v. DONALD PATRICK FEWER (CRD No. 1415123), RESPONDENT. Disciplinary Proceeding No. 20060051583 Hearing Officer: RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 16, 2012 INTRODUCTION Disciplinary Proceeding No. 20060051583 was filed on September 27, 2010, by the Department of Market Regulation of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Donald Patrick Document Type Orders Accepting Offers of Settlement Firms/ Individuals
DONALD PATRICK FEWER
Action Date 03/16/2012
Case ID 2006005158309 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. GFI Securities LLC (CRD No. 19982), Respondent. Disciplinary Proceeding No. 20060051583 Hearing Officer: RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 27, 2012 INTRODUCTION Disciplinary Proceeding No. 20060051583 was filed on September 27, 2010, by the Department of Market Regulation of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent GFI Securities Document Type Orders Accepting Offers of Settlement Firms/ Individuals
GFI SECURITIES LLC
Action Date 02/27/2012
Case ID 2006005158309 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Stephen Louis Scotto (CRD No. 2547858) Respondent. Disciplinary Proceeding No. 20060051583 Hearing Officer: RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 22, 2012 INTRODUCTION Disciplinary Proceeding No. 20060051583 was filed on September 27, 2010, by the Department of Market Regulation of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Stephen Louis Document Type Orders Accepting Offers of Settlement Firms/ Individuals
STEPHEN LOUIS SCOTTO
Action Date 03/22/2012