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FINRA Disciplinary Actions Online
Displaying 1 - 15 of 17001
| Case ID | Case Summary | Document Type | Firms/ Individuals | Action Date Sort ascending |
|---|---|---|---|---|
| 2019063694301 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063694301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy Ray Plant (Respondent) Former General Securities Representative CRD No. 4188055 Pursuant to FINRA Rule 9216, Respondent Timothy Ray Plant submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. | AWCs (Letters of Acceptance, Waiver, and Consent) | Timothy Ray Plant |
07/21/2021 |
| 2020068909301 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068909301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kenric L. Sexton (Respondent) Former General Securities Representative CRD No. 6362195 Pursuant to FINRA Rule 9216, Respondent Kenric L. Sexton submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. | AWCs (Letters of Acceptance, Waiver, and Consent) | Kenric L. Sexton |
07/21/2021 |
| 2021069207301 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069207301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Enoch S. Booth (Respondent) Former General Securities Representative Former Investment Company Shares and Variable Contracts Representative CRD No. 4370233 Pursuant to FINRA Rule 9216, Respondent Enoch S. Booth submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. | AWCs (Letters of Acceptance, Waiver, and Consent) | Enoch S. Booth |
07/20/2021 |
| 2016047624501 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016047624501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Luis Fernando Restrepo (Respondent) Former General Securities Principal, former Investment Banking Principal, former Compliance Officer. CRD No. 2167380 Pursuant to FINRA Rule 9216, Respondent Luis Fernando Restrepo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. | AWCs (Letters of Acceptance, Waiver, and Consent) | Luis Fernando Restrepo |
07/20/2021 |
| 2020068377301 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068377301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alexander Vesneske (Respondent) Former General Securities Representative and Former Private Securities Offering Representative CRD No. 6156226 Pursuant to FINRA Rule 9216, Respondent Alexander Vesneske submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. | AWCs (Letters of Acceptance, Waiver, and Consent) | Alexander Vesneske |
07/20/2021 |
| 2020067467601 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067467601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Precision Securities LLC (Respondent) Member Firm CRD No. 103976 Pursuant to FINRA Rule 9216, Respondent Precision Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC. | AWCs (Letters of Acceptance, Waiver, and Consent) | Precision Securities LLC |
07/19/2021 |
| 2019064102502 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064102502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christian M. Evans (Respondent) Former General Securities Representative CRD No. 6325180 Pursuant to FINRA Rule 9216, Respondent Christian M. Evans submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. | AWCs (Letters of Acceptance, Waiver, and Consent) | Christian M. Evans |
07/16/2021 |
| 2016048837401 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILSON-DAVIS & CO., INC. (CRD No. 3777), JAMES C. SNOW, JR. (CRD No. 2761102), LYLE WESLEY DAVIS (CRD No. 62352), BYRON BERT BARKLEY (CRD No. 12469), and CRAIG STANTON NORTON (CRD No. 349405), Respondents. Disciplinary Proceeding No.2016048837401 Hearing Officer- DRS ORDER ACCEPTING OFFER OF SETTLEMENT | Orders Accepting Offers of Settlement | Wilson-Davis & Co. James C. Snow, Jr., Lyle Wesley Davis, Byron Bert Barkley, Craig Stanton Norton |
07/16/2021 |
| 2016049087201 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016049087201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Laidlaw & Company (UK) Ltd. (Respondent) Member Firm CRD No. 119037 John Coolong (Respondent) General Securities Principal CRD 5924271 Pursuant to FINRA Rule 9216, Respondents Laidlaw & Company (UK) Ltd. and John Coolong submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. | AWCs (Letters of Acceptance, Waiver, and Consent) | Laidlaw & Company (UK) Ltd. John Coolong |
07/15/2021 |
| 2018058595601 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NOS. 2018058595601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: StockCross Financial Services, Inc. (acquired by Respondent Muriel Siebert & Co., Inc. as of December 31, 2019), (Respondent) Member Firm CRD No. 6670 Pursuant to FINRA Rule 9216, Respondent StockCross Financial Services, Inc., which was acquired by Muriel Siebert & Co., Inc. as December 31, 2019, submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. | AWCs (Letters of Acceptance, Waiver, and Consent) | StockCross Financial Services, Inc. |
07/15/2021 |
| 2019063058701 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063058701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: NEXT Financial Group, Inc. (Respondent) Member Firm CRD No. 46214 Pursuant to FINRA Rule 9216, Respondent NEXT Financial Group, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. | AWCs (Letters of Acceptance, Waiver, and Consent) | NEXT Financial Group, Inc. |
07/13/2021 |
| 2021069256901 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069256901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Samuel C. Lohner (Respondent) Former General Securities Representative CRD No. 7064052 Pursuant to FINRA Rule 9216, Respondent Samuel C. Lohner submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. | AWCs (Letters of Acceptance, Waiver, and Consent) | Samuel C. Lohner |
07/09/2021 |
| 2017054317401 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054317401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Douglas Edward Szempruch (Respondent) Former General Securities Representative CRD No. 4159318 Pursuant to FINRA Rule 9216, Respondent Douglas Edward Szempruch submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted | AWCs (Letters of Acceptance, Waiver, and Consent) | Douglas Edward Szempruch |
07/09/2021 |
| 2021070962701 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070962701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald J. Giovino, Jr. (Respondent) Investment Company Products/Variable Contracts Principal (IP) Investment Company Products and Variable Contracts Products Representative CRD No. 2236071 Pursuant to FINRA Rule 9216, Respondent Ronald J. Giovino, Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. | AWCs (Letters of Acceptance, Waiver, and Consent) | Ronald J. Giovino, Jr. |
07/08/2021 |
| 2019061187102 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Ji Jun Yang (CRD No. 6084289), Respondent. Disciplinary Proceeding No. 2019061187102 Hearing Officer-BEK DEFAULT DECISION July 8, 2021 Respondent is barred from associating with any FINRA member firm in any capacity for (1) converting firm funds by causing the firm to pay fictitious credit card | OHO Decisions | Ji Jun Yang |
07/08/2021 |