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FINRA Disciplinary Actions Online

Displaying 1 - 15 of 16363
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2019061646402 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061646402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Eugene J. Long, Respondent General Securities Representative and General Securities Principal CRD No. 2386267 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Eugene J. Long 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)
Eugene J. Long
07/02/2020
2018060587401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060587401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John G. Kallis, Respondent Registered Representative CRD No. 4366410 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John G. Kallis 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 G. Kallis
07/01/2020
2017052466304 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052466304 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Leonard J. Marzocco, Respondent Former General Securities Representative CRD No. 3106494 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Leonard J. Marzocco 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)
Leonard J. Marzocco
07/01/2020
2019060650601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019060650601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Avanza Capital Markets Inc., Respondent Member Firm CRD No. 103941 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Avanza Capital Markets Inc. ("Avanza" 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)
Avanza Capital Markets Inc.
07/01/2020
2018057940801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057940801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cadaret, Grant & Co., Inc., Respondent Member Firm CRD No. 10641 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cadaret, Grant & Co., Inc. ("Cadaret Grant" 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)
Cadaret, Grant & Co., Inc.
07/01/2020
2019061646401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061646401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert J. McNamara, Respondent General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 1207495 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert J. McNamara 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 J. McNamara
07/01/2020
2017053677201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053677201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy Patrick McLanahan, Respondent Registered Representative CRD No. 2356791 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Timothy Patrick McLanahan 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)
Timothy Patrick McLanahan
07/01/2020
2018058286901 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILFREDO FELIX (CRD No. 2693672) and PRIMEX PRIME ELECTRONIC EXECUTION, INC. d/b/a PRIMEX (CRD No. 29394), Respondents. Disciplinary Proceeding No. 2018058286901 Hearing Officer—MJD EXTENDED HEARING PANEL DECISION July 1, 2020 Respondent Wilfredo Felix is barred in all capacities for failing to provide a personal tax-related document during the investigation of this matter. Felix and Primex made and preserved inaccurate OHO Decisions
PRIMEX PRIME ELECTRONIC EXECUTION, INC. d/b/a PRIMEX
WILFREDO FELIX
07/01/2020
2020065575901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065575901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael J. Iannarino, Respondent General Securities Representative CRD No. 1258453 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael J. Iannarino 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)
Michael J. Iannarino
06/30/2020
2019062699901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062699901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Katie Ann Hudson, Respondent Investment Company and Variable Contracts Products Representative CRD No. 5508543 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Katie Ann Hudson ("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)
Katie Ann Hudson
06/30/2020
2018060836401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060836401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Valmark Securities, Inc., Respondent Member Firm CRD No. 31243 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Valmark Securities, Inc. submits this Letter of Acceptance, Waiver and Consent (A WC) for the purpose of proposing a settlement of the alleged rule violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
Valmark Securities, Inc.
06/30/2020
2019062084002 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062084002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gregory A. Ricker, Respondent General Securities Representative CRD No. 1834893 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Gregory A. Ricker ("Ricker" 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)
Gregory A. Ricker
06/29/2020
2018058588501 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Christopher Peter Tranchina CRD No. 5657849, Respondent. ‭Disciplinary Proceeding No. 2018058588501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Hours after member firm Homer, Townsend & Kent (“HTK”) fired Christopher Peter Tranchina and instructed him not to return to the office, Tranchina broke into his locked Office and stole client-related files belonging to HTK and its affiliated Complaints
Christopher Peter Tranchina
06/29/2020
2014042606902 BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Silver Leaf Partners, LLC New York, NY, Respondent. Decision Complaint No. 2014042606902 Dated: June 29, 2020 Member firm failed to establish and maintain a supervisory system reasonably designed to achieve compliance with applicable securities laws, regulations, and FINRA rules, and paid transaction-based compensation to nonmember brokers. Held, findings affirmed and sanctions modified. NAC Decisions
Silver Leaf Partners, LLC
06/29/2020
2018059200701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059200701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Henry A. Taylor III, Respondent Registered Representative CRD No. 4641256 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Henry A. Taylor III 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)
Henry A. Taylor III
06/29/2020