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FINRA Disciplinary Actions Online

Displaying 1 - 15 of 15933
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2016049321302 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ami Kathryn Forte (CRD No. 2457536) and Charles Joseph Lawrence (CRD NO. 3131566), Respondents. Disciplinary Proceeding No. 2016049321302 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 21, 2019 INTRODUCTION Disciplinary Proceeding No. 2016049321302 was filed on December 20, 2018, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Orders Accepting Offers of Settlement
Ami Kathryn Forte
10/21/2019
2016049321302 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ami Kathryn Forte (CRD No. 2457536) and Charles Joseph Lawrence (CRD NO. 3131566), Respondents. Disciplinary Proceeding No. 2016049321302 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 21, 2019 INTRODUCTION Disciplinary Proceeding No. 2016049321302 was filed on December 20, 2018, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Orders Accepting Offers of Settlement
Charles Joseph Lawrence
10/21/2019
2018057116501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057116501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity LLC, Respondent Member Firm CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Canaccord Genuity LLC ("Canaccord," "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)
Canaccord Genuity LLC
10/21/2019
2016048835401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048835401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Beta Capital Securities LLC, Respondent Broker-Dealer CRD No. 38964 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Beta Capital Securities LLC ("Beta Capital" 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)
Beta Capital Securities LLC
10/21/2019
201605207260 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052072601 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: World Equity Group, Inc., Respondent Member Firm CRD No. 29087 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, World Equity Group, Inc. (“Respondent,” “World Equity,” or the “Firm”) 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)
World Equity Group, Inc.
10/18/2019
2019061994701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061994701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dennis A. Mehringer, Jr., Respondent Former Registered Representative CRD No. 722569 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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)
Dennis A. Mehringer, Jr.
10/18/2019
2016048444001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048444001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: WallachBeth Capital LLC, Respondent Broker-Dealer CRD No. 147853 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, WallachBeth Capital LLC (the "firm" 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)
WallachBeth Capital LLC
10/18/2019
2016052226801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052226801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Insight Securities, Inc., Respondent Member Firm CRD No. 5611 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Insight Securities, Inc. ("Insight Securities" 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)
Insight Securities, Inc.
10/17/2019
2018058699101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058699101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Richard C. Berg CRD No. 1233833 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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)
Richard C. Berg
10/17/2019
2018057553801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057553801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles Bridgers, Respondent CRD No. 1226108 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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)
Charles Bridgers
10/16/2019
2018057815601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057815601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Elton Norman, Respondent General Securities Representative CRD No. 6402086 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Elton Norman 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)
Elton Norman
10/16/2019
2017054755206 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL G. MAUGHAN CRD No. 2561363, Respondent. Disciplinary Proceeding No. 2017054755206 Hearing Officer-RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 15, 2019 INTRODUCTION Disciplinary Proceeding No. 2017054755206 was filed on August 14, 2019, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Maughan submitted an Offer of Settlement (Offer) to Complainant Orders Accepting Offers of Settlement
Daniel G. Maughan
10/15/2019
2016049448301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160494483-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Apex Clearing Corporation, Respondent Member Firm CRD No. 13071 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Apex Clearing Corporation ("Apex" 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)
Apex Clearing Corporation
10/15/2019
2019064149701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064149701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jason Lee Ballor ("Ballor" or "Respondent") Associated Person of a Funding Portal Member CRD No. 6853439 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jason Lee Ballor 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)
Jason Lee Ballor
10/15/2019
2017053206501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20170532065-01 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Dougherty & Company LLC, Respondent Member Firm CRD No. 7477 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Dougherty & Company LLC (“Dougherty” 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)
Dougherty & Company LLC
10/14/2019