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FINRA Disciplinary Actions Online

Displaying 1 - 15 of 16299
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2017053409201 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Tripoint Global Equities, LLC (CRD No. 143174), and Mark Elenowitz (CRD No. 2057802), Respondents. Disciplinary Proceeding No. 2017053409201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From November 2015 through August 2016, Respondents Tripoint Global Equities, Complaints
Tripoint Global Equities, LLC
Mark Elenowitz
05/29/2020
2016050948201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050948201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stifel, Nicolaus & Company, Incorporated, Respondent Member Firm CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Stifel, Nicolaus & Company, Incorporated (“Stifel” 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)
Stifel, Nicolaus & Company, Incorporated
05/28/2020
2018059527301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059527301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Julie Reyes, Respondent Former Associated Person CRD No. 6779272 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Julie Reyes 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)
Julie Reyes
05/28/2020
2019064884501 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GUSTAVO TRUJILLO FRANCO (CRD No. 6793684), Respondent. Disciplinary Proceeding No. 2019064884501 Hearing Officer-RES DEFAULT DECISION May 28, 2020 Respondent is barred from associating with any FINRA member in any capacity for failing to appear for on-the-record testimony as required by FINRA Rule 8210. Appearances For Complainant: J. Loyd Gattis, Esq., Michael P. Manly, Esq., Department of Enforcement, Financial Industry Regulatory Authority OHO Decisions
GUSTAVO TRUJILLO FRANCO
05/28/2020
2018057909501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057909501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Courtney James Burn, Respondent General Securities Representative CRD No. 4263447 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent, Courtney James Burn, 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 AWCs (Letters of Acceptance, Waiver, and Consent)
Courtney James Burn
05/27/2020
2017053843901 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL PATRICK MURPHY (CRD No. 2596905), Respondent. Disciplinary Proceeding No. 2017053843901 Hearing Officer - RES HEARING PANEL DECISION May 27, 2020 Respondent Michael Patrick Murphy is fined $20,000 and suspended from associating with ay FINRA member in any capacity for six months. Respondent willfully failed to timely amend his Form U4 to disclose three OHO Decisions
Michael Patrick Murphy
05/27/2020
2019063606701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063606701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michelle L. Gill, Respondent Former Registered Representative CRD No. 6447758 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michelle L. Gill 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)
Michelle L. Gill
05/26/2020
2017056036301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056036301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Nicholas Korzik, Respondent General Securities Representative CRD No. 1013350 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert Nicholas Korzik ("Respondent" or "Korzik") 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 Nicholas Korzik
05/26/2020
2019061681801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061681801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul Liebman, Respondent General Securities Representative CRD No. 2205116 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Paul Liebman ("Liebman" 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)
Paul Liebman
05/26/2020
2017054462001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054462001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Axiom Capital Management, Inc., Respondent Member Firm CRD No. 26580 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Axiom Capital Management, Inc. (“Axiom” 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)
Axiom Capital Management, Inc.
05/26/2020
3-19216 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 88953 / May 26, 2020 Admin. Proc. File No. 3-19216 In the Matter of the Application of DUSTIN TYLOR AIGUIER For Review of Action Taken by FINRA OPINION OF THE COMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF FINRA ACTION Jurisdiction to Review Association Action SEC Decisions
Dustin Tylor Aiguier
05/26/2020
2019063042701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063042701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sachin Kumar, Respondent General Securities Representative CRD No. 5295758 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Sachin Kumar submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing settlement of the alleged rule violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
Sachin Kumar
05/25/2020
2019061162901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057640301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Martin Joseph Noonan, Respondent Former Registered Representative CRD No. 2982159 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Martin Joseph Noonan (Noonan) 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)
Martin Joseph Noonan
05/21/2020
2014041254102 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041254102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Santander Investment Securities Inc., Respondent Member Firm CRD No. 37216 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Santander Investment Securities Inc. ("Santander" 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)
Santander Investment Securities Inc.
05/21/2020
2016048393501 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SHOPOFF SECURITIES, INC. (CRD No. 142866), WILLIAM A. SHOPOFF (CRD No. 1273471), and STEPHEN R. SHOPOFF (CRD No. 5276325), Respondents. Disciplinary Proceeding No. 2016048393501 Hearing Officer-MC EXTENDED HEARING PANEL DECISION May 21, 2020 The Department of Enforcement did not prove by a preponderance of the evidence that Respondents engaged in fraudulent sales of securities or made OHO Decisions
142866
William A. Shopoff, Stephen R. Shopoff
05/21/2020