Securities Helpline for Seniors: Celebrating 5 Years of Senior Investor Protection
FINRA is committed to the protection of senior investors and other vulnerable adults. That’s why FINRA launched the Securities Helpline for Seniors. On this episode, we hear how the Helpline handles calls, frequent areas of concern and how the Helpline has evolved over the five years since its launch.
2016051156902 Charles J. Euler, Jr. CRD 202696 AWC va (2020-1589415574697).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051156902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Charles J. Euler, Jr., Respondent Former General Securities Representative, General Securities Principal, and Financial and Operations Principal CRD No. 202696 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Charles J. Euler, Jr. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019063842601 Peggy Jean Doherty-Punderson CRD 1535750 AWC va (2020-1589415572711).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063842601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Peggy Jean Doherty-Punderson, Respondent Former General Securities Representative CRD No. 1535750 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Peggy Jean Doherty-Punderson ("Respondent" or "Doherty-Punderson") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2016049307801 Timothy Tilton Ayre CRD 2091556 Complaint va (2020-1589415573624).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TIMOTHY TILTON AYRE, (CRD No. 2091556), Respondent. DISCIPLINARY PROCEEDING No. 2016049307801 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2013 through March 18, 2016, and June 2, 2016 through October
2019064265601 Melissa A. Niederhauser CRD 6380536 AWC va (2020-1589156370113).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064265601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Melissa A. Niederhauser, Respondent Former Associated Person CRD No. 6380536 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Melissa Niederhauser submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2018060317901 William Andrew Wimberly CRD 1157038 AWC va (2020-1589156370211).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060317901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Andrew Wimberly, Respondent Former General Securities Representative and General Securities Principal CRD No. 1157038 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent William Andrew Wimberly ("Wimberly" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2018058871601 Fusion Analytics Securities, LLC CRD 124245 Complaint va (2020-1589156370109).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Fusion Analytics Securities, LLC CRD No. 124245, Respondent. Disciplinary Proceeding No. 2018058871601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between September 2014 and May 2018 (the "Relevant Period"), Fusion