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FINRA Disciplinary Actions Online

Displaying 1 - 15 of 16140
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2018058148801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058148801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas M. Murphy, Respondent Former General Securities Representative CRD No. 5654189 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Thomas M. Murphy 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 M. Murphy
02/18/2020
2017053704501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053704501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wedbush Securities, Inc., Respondent Member Firm CRD No. 877 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Wedbush Securities, Inc. ("Wedbush" 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)
Wedbush Securities, Inc.
02/18/2020
2019061205201 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Martin David Batstone CRD No. 2171601 Respondent. Disciplinary Proceeding No. 2019061205201 Hearing Officer-RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 18, 2020 INTRODUCTION Disciplinary Proceeding No. 2019061205201 was filed on October 1, 2019, by the Orders Accepting Offers of Settlement
Martin David Batstone
02/18/2020
2017053128501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053128501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Morgan Stanley & Co. LLC, Respondent Member Firm CRD No. 8209 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Morgan Stanley & Co. LLC (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)
Morgan Stanley & Co. LLC
02/18/2020
2018059598101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059598101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Angela Marie Chatfield, Respondent General Securities Representative CRD No. 6597761 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Angela Marie Chatfield ("Chatfield" 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)
Angela Marie Chatfield
02/14/2020
2019064915301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064915301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald W. Hannes, Respondent Investment Company and Variable Contracts Products Representative CRD No. 1462241 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ronald W. Hannes 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)
Ronald W. Hannes
02/13/2020
2020065196801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065196801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Gray Dalton, Respondent General Securities Representative CRD No. 2418235 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David Gray Dalton ("Respondent" or "Dalton") 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)
David Gray Dalton
02/12/2020
2020065196802 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065196802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Francis Dalton, Respondent General Securities Representative CRD No. 60216 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David Francis Dalton ("Respondent" or "Dalton") 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)
David Francis Dalton
02/12/2020
2018057522001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057522001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Scott Nimmow, Respondent Former Investment Company Shares/Variable Contracts Representative CRD No. 2693601 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Jeffrey Scott Nimmow (“Respondent” or “Nimmow”) 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)
Jeffrey Scott Nimmow
02/10/2020
2017056688202 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL J. ARCURI, JR. (CRD No. 2200431), Respondent. Disciplinary Proceeding No. 2017056688202 Hearing Officer-DW DEFAULT DECISION February 7, 2020 For twice failing to appear and provide on-the-record testimony during an investigation as required by FINRA Rule 8210, Respondent is barred from associating with any FINRA member in any capacity. Appearances For the Complainant: Elson Ho, Esq., Eric Hansen, Esq., and Richard Chin, Esq., Department OHO Decisions
DANIEL J. ARCURI, JR.
02/07/2020
2011025675501 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 88156 / February 7, 2020 Admin. Proc. File No. 3-17560r In the Matter of the Application of KIMBERLY SPRINGSTEEN-ABBOTT For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION — REVIEW OF DISCIPLINARY PROCEEDING Associated person of member firm appeals from FINRA disciplinary action finding that she misused investor funds by improperly allocating personal expenses, control person SEC Decisions
Kimberly Springsteen-Abbott
02/07/2020
2017056627402 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056627402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: FIMCO Securities Group, Inc. Member Firm BD No. 30343 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent FIMCO Securities Group, Inc. ("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)
FIMCO Securities Group, Inc.
02/06/2020
2018059545201 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT JUAN ESCOBIO (CRD No. 703813), Respondent. Disciplinary Proceeding No. 2018059545201 Hearing Officer-DDM HEARING PANEL DECISION GRANTING MOTION FOR SUMMARY DISPOSITION February 5, 2020 Robert Juan Escobio failed to comply with multiple Rule 8210 requests for documents and information and on-the-record testimony. For this misconduct, OHO Decisions
Robert Juan Escobio
02/05/2020
2019061378001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061378001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Martin Harman, Respondent Former General Securities Representative CRD No. 4763429 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent John Martin Harman 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 Martin Harmon
02/05/2020
2015044231302 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044231302 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., (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)
BNP Paribas Securities Corp.
02/05/2020