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FINRA Disciplinary Actions Online

Displaying 1 - 15 of 16209
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2019063530501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063530501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lazaros Coss, Respondent Investment Company and Variable Contracts Product Representative CRD No. 6476885 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Lazaros Coss (“Coss”) 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)
Lazaros Coss
04/02/2020
2019061490801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061490801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barry Robert Bode, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 1203578 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Barry Robert Bode ("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)
Barry Robert Bode
04/02/2020
2018058026701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058026701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alexander Jon James, Respondent Former Registered Representative CRD No. 5630825 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Alexander Jon James 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)
Alexander Jon James
04/02/2020
2019062856101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062856101 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Clare Marie Cail, Respondent General Securities Representative CRD No. 2398511 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Clare Marie Cail (“Cail” 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)
Clare Marie Cail
04/02/2020
2018059949701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059949701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jacqueline Jacobsen, Respondent Registered Representative CRD No. 2504257 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jacqueline Jacobsen 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)
Jacqueline Jacobsen
04/01/2020
2018058134301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058134301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Patrick M. Coogan, Respondent Former General Securities Princial and General Securities Representative CRD No. 4576580 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Patrick M. Coogan ("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)
Patrick M. Coogan
04/01/2020
2019063626701 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Chams Khwaja CRD No. 6906622, Respondent. Disciplinary Proceeding No. 2019063626701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Chams Khwaja failed to provide information and documents that Complaints
Chams Khwaja
04/01/2020
2019063287401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063287401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Genesis Zschocher, Respondent Former Non-Registered Fingerprinted Person CRD No. 7091780 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Genesis Zschocher 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)
Genesis Zschocher
03/31/2020
2019062092401 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Steven Harris CRD No. 2440292, Respondent. Disciplinary Proceeding No. 2019062092401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Steven Harris manufactured fake documents that he then provided to FINRA Staff in response to requests made pursuant to FINRA Rule 8210. FINRA Staff was Complaints
Steven Harris
03/31/2020
2019064639701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064639701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gerald Roger Dewes, Respondent Former General Securities Representative and General Securities Principal CRD No. 2465538 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Gerald Roger Dewes 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)
Gerald Roger Dewes
03/30/2020
2019064038501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064038501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ashley K. Martin, Respondent General Securities Representative CRD No. 4628096 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ashley K. Martin ("Martin" 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)
Ashley K. Martin
03/30/2020
2018057964201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057964201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mark T. Lamkin, Respondent General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 2121510 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Mark T. Lamkin (“Lamkin” 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)
Mark T. Lamkin
03/30/2020
2018058923701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058923701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William James Hite, Respondent General Securities Representative CRD No. 1675972 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent William James Hite (“Hite”) 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)
William James Hite
03/30/2020
2009017440201r BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Louis Ottimo, Syosset, NY, Respondent. DECISION Complaint No. 2009017440201r Dated: March 27, 2020 On remand from the Securities and Exchange Commission for reconsideration of sanctions. Held, sanctions reaffirmed. NAC Decisions
Louis Ottimo
03/27/2020
2011027666902r BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Merrimac Corporate Securities, Inc. Altamonte Springs, FL, and Robert G. Nash Altamonte Springs, FL, Respondents. DECISION Complaint No. 2011027666902r Dated: March 27, 2020 On remand from the Securities and Exchange Commission for reconsideration of sanctions. Held, sanctions modified. NAC Decisions
Merrimac Corporate Securities, Inc.
Robert G. Nash
03/27/2020