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FINRA Disciplinary Actions Online

Displaying 1 - 15 of 15878
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2016048921102 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Halil Kozi (CRD No. 1121714) Respondent. DISCIPLINARY PROCEEDING No. 2016048921102 COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. From June 2013 through February 2015 (the "Relevant Period"), while associated with FINRA-member PHX Financial, Inc. ("PHX" or the "Firm"), Respondent Halil Complaints
Halil Kozi
09/17/2019
2015047127703 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047127703 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: J.P. Morgan Securities, LLC, Respondent Member Firm CRD No. 79 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
J.P. Morgan Securities, LLC
09/16/2019
2019061839001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061839001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Whitney Simon, Respondent Former Associated Person CRD No. 6815971 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Whitney Simon, 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)
Whitney Simon
09/16/2019
2017054548001 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEVIN J. MURPHY (CRD No. 1645347), Respondent. DISCIPLINARY PROCEEDING No. 2017054548001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between July 2016 and September 2016, while registered with FINRA member firm Electronic Transaction Clearing, Inc. (ETC) (CRD No. 146122), Complaints
Kevin J. Murphy
09/16/2019
2018057149701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057149701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Donald Edward Teboe, Respondent General Securities Representative CRD No. 4407610 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Donald Edward Teboe submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations AWCs (Letters of Acceptance, Waiver, and Consent)
Donald Edward Teboe
09/16/2019
2018059326201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059326201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Thomas Stappas, Respondent CRD No. 855198 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Thomas Stappas ("Stappas") 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 Stappas
09/13/2019
2019061486601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061486601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Rawley Hallman, Respondent CRD No. 6524072 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Rawley Hallman 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)
Rawley Hallman
09/13/2019
2018057143801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057143801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Shirley Anne Weston, Respondent General Securities Representative CRD No. 1957345 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Shirley Anne Weston ("Weston" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
Shirley Anne Weston
09/13/2019
2018059912001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059912001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert P. Pachciarz, Respondent Former Registered Representative CRD No. 5337955 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert P. Pachciarz 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)
Robert P. Pachciarz
09/12/2019
2019061689501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061689501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Clayton Holman Wertz, Respondent Former General Securities Representative CRD No. 2931973 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Clayton Holman Wertz 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)
Clayton Holman Wertz
09/11/2019
2016049183302 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049183302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ace Diversified Capital, Inc., Respondent Member Firm CRD No. 41768 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ace Diversified Capital, Inc. submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
Ace Diversified Capital, Inc.
09/11/2019
2018060818301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060818301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Heather Joy Baker, Respondent General Securities Representative CRD No. 4920460 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Heather Joy Baker ("Baker" 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)
Heather Joy Baker
09/10/2019
2017056602301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056602301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Clay Gavin Erickson, Respondent Former Investment Company and Variable Contracts Products Representative ("IR") CRD No. 1583644 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Clay Gavin Erickson submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
Clay Gavin Erickson
09/09/2019
2017053685201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053685201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jack Stone, Respondent General Securities Principal and General Securities Representative CRD No. 437327 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jack Stone submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
Jack Stone
09/09/2019
2019063054201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063054201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Apostolos Pitsironis, Respondent Former General Securities Representative Former General Securities Sales Supervisor CRD No. 2804907 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Apostolos Pitsironis submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
Apostolos Pitsironis
09/09/2019