For updates and guidance related to COVID-19 / Coronavirus, click here.

FINRA Disciplinary Actions Online

Displaying 1 - 15 of 16419
Case ID Case Summary Document Type Firms/ Individuals Action Date
2019064184001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064184001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Michael Voce, Respondent Former General Securities Representative CRD No. 4201017 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Steven Michael Voce 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)
Steven Michael Voce
 		08/07/2020
2018056305601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056305601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Corecap Investments, LLC, Respondent Member Firm CRD No. 37068 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Corecap Investments, 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)
Corecap Investments, LLC
 		08/06/2020
2016051621901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051621901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sylvester Knox, Respondent General Securities Representative CRD No. 1625705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Sylvester Knox 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)
Sylvester Knox
 		08/06/2020
2019062329901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062329901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Serge Parakhnevich, Respondent General Securities Representative CRD No. 5493064 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Serge Parakhnevich 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)
Serge Parakhnevich
 		08/06/2020
2018060288601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060288601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Omar Waleed Hammad-Randolph, Respondent Registered Representative CRD No. 6087721 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Omar Waleed Hammad-Randolph 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)
Omar Waleed Hammad-Randolph
 		08/06/2020
2019064738101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064738101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Shaun C. Simmons, Respondent General Securities Representative CRD No. 5968594 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Shaun C. Simmons 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)
Shaun C. Simmons
 		08/05/2020
2019063585501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063585501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Pace McConkie, Respondent Former Registered Representative CRD No. 6092544 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent John Pace McConkie 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 Pace McConkie
 		08/03/2020
2018060840101 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Victor A. Rigoni, III CRD No. 4272056, Respondent. Disciplinary Proceeding No. 2018060840101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From August 2012 through March 2019, Victor A. Rigoni, III willfully failed to timely amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose six unsatisfied federal and state tax liens totaling $164,521. On average, Rigoni Complaints
Victor A. Rigoni, III
 		08/03/2020
2018057247201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057247201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Frederick Scott Levine, Respondent General Securities Representative CRD No. 1765119 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Frederick Scott Levine 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)
Frederick Scott Levine
 		08/03/2020
2019061319201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061319201 TO: Department of Enforcement Financial industry Regulatory Authority (FINRA) RE: Christopher Duke Bennett, Respondent General Securities Representative CRD No. 2510231 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Christopher Duke Bennett ("Bennett" 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. AWCs (Letters of Acceptance, Waiver, and Consent)
Christopher Duke Bennett
 		07/31/2020
2019062048401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062068401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Keith Gaines Drago, Sr., Respondent General Securities Representative CRD No. 858785 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Keith Gaines Drago, Sr. (Drago 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. AWCs (Letters of Acceptance, Waiver, and Consent)
Keith Gaines Drago, Sr.
 		07/31/2020
2019062014501 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ronald G. Richer CRD No. 2988381, Respondent. Disciplinary Proceeding No. 2019062014501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In September 2016, while registered with FINRA through Garden State Securities, Inc., Respondent Ronald G. Richer borrowed $15,000 from a senior customer ("Customer A") without providing prior notice to, and receiving written approval from, Complaints
Ronald G. Richer
 		07/30/2020
2013037641201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037641201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BNP Paribas Securities Corp., Respondent Member Firm CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent BNP Paribas Securities Corp. ("BNP Paribas" or the "Firm") 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)
BNP Paribas Securities Corp.
 		07/30/2020
2017056738101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056738101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CIM Securities, LLC, Respondent Member Firm BD No. 120852 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent CIM Securities, LLC ("Respondent" or the "Firm") 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)
CIM Securities, LLC
 		07/30/2020
2017053708001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053708001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hilltop Securities, Inc. CRD No. 6220 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Hilltop Securities, Inc. (“Hilltop,” “Respondent,” or “the Firm”) 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)
Hilltop Securities, Inc.
 		07/28/2020