FINRA Disciplinary Actions Online

Displaying 1 - 15 of 15808
Case ID Case Summary Document Type Firms/ Individuals Action Datesort ascending
Case ID 2017052699901 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052699901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gregory T. Dean, Respondent Former General Securities Representative CRD No. 4922996 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Gregory T. Dean, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Gregory T. Dean
Action Date 08/16/2019
Case ID 2013037572601 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037572601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lime Brokerage LLC, Respondent Broker-Dealer CRD No. 104369 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Lime Brokerage LLC ("Lime" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Lime Brokerage LLC
Action Date 08/15/2019
Case ID 2018060477501 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060477501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Summit Brokerage Services, Inc., Respondent CRD No. 34643 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Summit Brokerage Services, Inc. submits this Letter of Acceptance, Waiver and Consent ("AWC") Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Summit Brokerage Services, Inc.
Action Date 08/15/2019
Case ID 2018058354501 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058354501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Roger L. Owens, Respondent Former Registered Representative CRD No. 2359204 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Roger L. Owens submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Roger L. Owens
Action Date 08/14/2019
Case ID 2017054755206 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL G. MAUGHAN CRD No. 2561363, Respondent. Disciplinary Proceeding No. 2017054755206 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Daniel G. Maughan, while associated with Financial West Group ("Financial West" or the "Firm"), a FINRA-regulated broker-dealer, churned and excessively Document Type Complaints Firms/ Individuals
Daniel G. Maughan
Action Date 08/14/2019
Case ID 2018059546401 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059546401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brenda M. Kochel, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 5212755 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Brenda M. Kochel ("Respondent" or "Kochel") submits this Letter of Acceptance, Waiver and Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Brenda M. Kochel
Action Date 08/14/2019
Case ID 2017055504801 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055504801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stephen Allen Kelbick, Respondent General Securities Representative CRD No. 1429133 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Stephen Allen Kelbick ("Kelbick" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Stephen Allen Kelbick
Action Date 08/13/2019
Case ID 2018059177601 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059177601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Leonard J. Kuczynski, Respondent Investment Company and Variable Contracts Products Representative CRD No. 863341 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Leonard J. Kuczynski ("Kuczynski" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Leonard J. Kuczynski
Action Date 08/13/2019
Case ID 2015043490102 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043490102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Seven Points Capital, LLC, Respondent FINRA Member Firm BD No. 144211 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondent, Seven Points Capital, LLC ("Seven Points" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Seven Points Capital, LLC
Action Date 08/12/2019
Case ID 2015047244701 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GURPREET CHANDHOKE (CRD No. 4999369 and STEPHEN SHEA (CRD No.3274649), Respondents. Disciplinary Proceeding No. 2015047244701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Over the course of more than three years, between March 2014 and August 2017, Respondents Gurpreet Chandhoke and Stephen Shea consistently failed to meet their obligations to disclose private Document Type Complaints Firms/ Individuals
STEPHEN SHEA, GURPREET CHANDHOKE
Action Date 08/12/2019
Case ID 2018059547901 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059547901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bryan Joseph Clark, Respondent General Securities Representative CRD No. 2987321 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Bryan Joseph Clark submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Bryan Joseph Clark
Action Date 08/12/2019
Case ID 2016048071901 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048071901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Thomas Raymond Williams, Respondent General Securities Representative General Securities Principal CRD No. 3176294 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Thomas Raymond Williams ("Respondent" or "Williams"), submits this Letter of Acceptance, Waiver and Consent Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Thomas Raymond Williams
Action Date 08/09/2019
Case ID 2018058666001 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058666001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Steve Baptist, Respondent Registered Representative CRD No. 5885870 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Steve Baptist ("Baptist"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Steve Baptist
Action Date 08/08/2019
Case ID 2017052699301 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052699301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Richard J. Coleman, Respondent Former General Securities Representative CRD No. 2720422 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Richard J. Coleman, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Richard J. Coleman
Action Date 08/08/2019
Case ID 2018060634302 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060634302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lisa Acca, Respondent Former General Securities Representative Former General Securities Principal CRD No. 4661358 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Lisa Acca, ("Acca") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Lisa Acca
Action Date 08/08/2019

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