FINRA Disciplinary Actions Online

Displaying 1 - 7 of 7
Case ID Case Summary Document Type Firms/ Individuals Action Datesort ascending
Case ID 2014041724601 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SCOTTSDALE CAPITAL ADVISORS CORPORATION (CRD No. 118786), JOHN J. HURRY (CRD No. 2146449), TIMOTHY B. DIBLASI (CRD No. 4623652), and D. MICHAEL CRUZ (CRD No. 2450344), Respondents. DISCIPLINARY PROCEEDING No. 2014041724601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between December 1, 2013 and June 30, 2014 (the "Relevant Period"), Scottsdale Capital Advisors Corporation Document Type Complaints Firms/ Individuals
SCOTTSDALE CAPITAL ADVISORS CORPORATION
TIMOTHY B. DIBLASI, D. MICHAEL CRUZ, JOHN J. HURRY
Action Date 05/15/2015
Case ID 2014041724601 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. SCOTTSDALE CAPITAL ADVISORS CORPORATION (CRD No. 118786), JOHN J. HURRY (CRD No. 2146449), TIMOTHY B. DIBLASI (CRD No. 4623652), and D. MICHAEL CRUZ (CRD No. 2450344), Respondents. Disciplinary Proceeding No. 2014041724601 Hearing Officer-LOM AMENDED EXTENDED HEARING PANEL DECISION1 June 20, 2017 The Respondent firm violated FINRA Rule 2010 by selling securities without registration and Document Type OHO Decisions Firms/ Individuals
SCOTTSDALE CAPITAL ADVISORS CORPORATION
JOHN J. HURRY, TIMOTHY B. DIBLASI, D. MICHAEL CRUZ
Action Date 06/20/2017
Case ID 2014041724601 Case Summary BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Scottsdale Capital Advisors Corporation Scottsdale, AZ, John Joseph Hurry Paradise Valley, AZ, Timothy Brian DiBlasi Surprise, AZ, and Darrel Michael Cruz Scottsdale, AZ, Respondents. DECISION Complaint No. 2014041724601 Dated: July 20, 2018 Scottsdale Capital Advisors sold unregistered and nonexempt microcap securities, Document Type NAC Decisions Firms/ Individuals
Scottsdale Capital Advisors Corporation
Darrel Michael Cruz, Timothy Brian DiBlasi, John Joseph Hurry
Action Date 07/20/2018
Case ID 2014041862701 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SPENCER EDWARDS, INC. (CRD No. 22067), Respondent. Disciplinary Proceeding No. 2014041862701 Hearing Officer-CC EXTENDED HEARING PANEL DECISION November 14, 2018 Member firm Respondent recommended and sold convertible two-year notes in a private placement to 13 customers without having a reasonable basis to believe that the investements Document Type OHO Decisions Firms/ Individuals
Spencer Edwards, Inc.
Action Date 11/14/2018
Case ID 2014041860801 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SANDLAPPER SECURITIES, LLC (CRD No. 137906), TREVOR LEE GORDON (CRD No. 2195122), and JACK CHARLES BIXLER (CRD No. 22331), Respondents. Disciplinary Proceeding No. 2014041860801 Hearing Officer—DW EXTENDED HEARING PANEL DECISION November 29, 2018 Sandlapper Securities, through its Chief Executive Officer Trevor Gordon and President Jack Bixler, willfully defrauded Document Type OHO Decisions Firms/ Individuals
SANDLAPPER SECURITIES, LLC
JACK CHARLES BIXLER, TREVOR LEE GORDON
Action Date 11/29/2018
Case ID 2014042606902 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement Complainant, v. SILVER LEAF PARTNERS, LLC (CRD No. 126694), Respondent. Disciplinary Proceeding No. 2014042606902 Hearing Officer DRS EXTENDED HEARING PANEL DECISION January 29, 2019 Respondent Silver Leaf Partners, LLC, is fined $100,000 for paying transaction-based compensation to non-FINRA members and for supervisory failures. Document Type OHO Decisions Firms/ Individuals
SILVER LEAF PARTNERS, LLC
Action Date 01/29/2019
Case ID 2014041724602 Case Summary FlNANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. ERIC JOSEPH MILLER (CRD No. 1844951), RESPONDENT. DISCIPLINARY PROCEEDING No. 2014041724602 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In June 2016, Respondent Eric Joseph Miller failed to appear as a witness for a FINRA disciplinary proceeding that he was obligated to attend pursuant to a FINRA Rule 8210 request letter. As a result, Miller violated Document Type Complaints Firms/ Individuals
ERIC JOSEPH MILLER
Action Date 09/06/2016