For updates and guidance related to COVID-19 / Coronavirus, click here.
FINRA Disciplinary Actions Online
Displaying 1 - 15 of 16549
| Case ID | Case Summary | Document Type | Firms/ Individuals | Action Date Sort ascending |
|---|---|---|---|---|
| 2020065050501 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065050501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lewis N. Lester, Respondent Former General Securities Representative and General Securities Principal CRD No. 1773617 Pursuant to FINRA Rule 9216, Respondent Lewis N. Lester 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) | Lewis N. Lester |
10/26/2020 |
| 2019062003101 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062003101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Norman Stanley Batansky General Securities Representative CRD No. 834388 Pursuant to FINRA Rule 9216, Respondent Norman Stanley Batansky 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) | Norman Stanley Batansky |
10/23/2020 |
| 2020067011901 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020067011901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Couture, Respondent Former Registered Representative CRD No. 4406284 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James Couture 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) | James Couture |
10/21/2020 |
| 2017055979301 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055979301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cynthia Diane Cowden (Respondent) Former General Securities Representative CRD No. 2054676 Pursuant to FINRA Rule 9216, Respondent Cynthia Diane Cowden 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) | Cynthia Diane Cowden |
10/21/2020 |
| 2018056386401 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056386401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CapFi Financial Partners LLC Member Firm CRD No. 113795 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent CapFi Financial Partners LLC 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) | CapFi Financial Partners LLC |
10/20/2020 |
| 2020065714201 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065714201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mamoun Chater (Respondent) Former General Securities Representative and Former Investment Company and Variable Contracts Products Representative CRD No. 6819865 Pursuant to FINRA Rule 9216, Respondent Mamoun Chater 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) | Mamoun Chater |
10/20/2020 |
| 2019063005301 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063005301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Travis R. Nelson (Respondent) Former General Securities Representative CRD No. 6018906 Pursuant to FINRA Rule 9216, Respondent Travis R. Nelson 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) | Travis R. Nelson |
10/19/2020 |
| 2019062616701 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062616701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Henry Geary (Respondent) General Securities Representative and General Securities Principal CRD No. 853462 Pursuant to FINRA Rule 9216, Respondent John Henry Geary 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) | John Henry Geary |
10/19/2020 |
| 2019063916701 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063916701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Troy R. Baily, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 4458930 Pursuant to FINRA Rule 9216, Respondent Troy R. Baily 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) | Troy R. Baily |
10/19/2020 |
| 2017053314902 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017053314902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Fernan (Respondent) Former General Securities Representative CRD No. 5896584 Pursuant to FINRA Rule 9216. Respondent Christopher Fernan 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) | Christopher Fernan |
10/19/2020 |
| 2019061008601 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061008601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Montrose Securities International (Respondent) Member Firm CRD No. 35603 Philip Y. Leung (Respondent) General Securities Principal and Introducing Broker-Dealer Financial and Operations Principal CRD No. 1121435 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Montrose Securities International and Philip Y. Leung 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) | Montrose Securities International Philip Y. Leung |
10/16/2020 |
| 2017052478901 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052478901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Michael Rensvold, Respondent General Securities Principal CRD No. 1477615 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Thomas Michael Rensvold 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) | Thomas Michael Rensvold |
10/16/2020 |
| 2017052478902 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052478902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Planner Securities LLC, Respondent Member Firm BD No. 36866 Humberto Santos, Respondent General Securities Principal CRD No. 2855514 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondents Planner Securities LLC and Humberto Santos 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) | Planner Securities LLC Humberto Santos |
10/16/2020 |
| 2020066219001 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066219001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joshua W. Conner (Respondent) Former Investment Company Products and Variable Contracts Products Principal CRD No. 4945942 Pursuant to FINRA Rule 9216, Respondent Joshua W. Conner 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) | Joshua W. Conner |
10/15/2020 |
| 2019063790901 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Sean Michael Refsnider (CRD No. 4762963), Respondent. DISCIPLINARY PROCEEDING No. 2019063790901 Hearing Officer: RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 15, 2020 INTRODUCTION Disciplinary Proceeding No. 2019063790901 was filed on April 28, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or | Orders Accepting Offers of Settlement | Sean Michael Refsnider |
10/15/2020 |