FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Datesort ascending
Case ID 2010025132201 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Freedom Investors Corp. (BD No. 23714), Gary Gossett (CRD No. 1939514) Amy Siesennop (CRD No. 2735819) and Joel Blumenschein (CRD No. 1372334), Respondents. Disciplinary Proceeding No. 2010025132201 Hearing Officer - MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 23, 2012 INTRODUCTION Disciplinary Proceeding No. 2010025132201 was filed on September 22, 2011, by the Department of Enforcement of Document Type Orders Accepting Offers of Settlement Firms/ Individuals
FREEDOM INVESTORS CORP.
JOEL BLUMENSCHEIN, GARY GOSSETT
Action Date 04/23/2012
Case ID 2010025132201 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gary Gossett General Securities Representative CRD No. 1939514 and and and Respondents. DISCIPLINARY PROCEEDING No. 2010025132201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In 2009 and 2010, Gary Gossett, a registered representative subject to heightened supervision at (the firm), engaged in a series of unsuitable penny stock trades in a retirement account of a customer of Document Type Complaints Firms/ Individuals
GARY GOSSETT
Action Date 09/22/2011
Case ID 2010025132201 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. AMY SIESENNOP (CRD No. 2735819), Respondent. Disciplinary Proceeding No. 2010025132201 Hearing Officer - MC HEARING PANEL DECISION October 22, 2012 Respondent Amy Siesennop guaranteed a customer against loss, in violation of FINRA Rules 2150 and 2010; settled with a customer in exchange for an agreement not to complain to FINRA, in violation of FINRA Rule 2010; failed to properly report receipt of Document Type OHO Decisions Firms/ Individuals
AMY SIESENNOP
Action Date 10/22/2012
Case ID 2015044782401 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBBI J. JONES (CRD No. 1797418), and KIPLING JONES & COMPANY, LTD. (CRD No. 144730), Respondents. Disciplinary Proceeding No. 2015044782401 Hearing Officer–KBW EXTENDED HEARING PANEL DECISION October 17, 2018 Respondent Robbi J. Jones caused Respondent Kipling Jones & Co., LTD. (“KJC”) to willfully create and maintain inaccurate books and records and to file Document Type OHO Decisions Firms/ Individuals
KIPLING JONES & COMPANY, LTD.
ROBBI J. JONES
Action Date 10/17/2018