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FINRA Disciplinary Actions Online

Displaying 1 - 15 of 15978
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2018060118401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060118401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Joseph Kearney, Respondent Former General Securities Representative CRD No. 265734 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, James Joseph Kearney ("Kearney" 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)
James Joseph Kearney
11/14/2019
2018059663501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059663501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fredrick M. Randhahn, Respondent Former General Securities Representative CRD No. 1338801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Fredrick M. Randhahn 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)
Fredrick M. Randhahn
11/14/2019
2019061911001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061911001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cody Hawkins-Fitzgerald, Respondent Former Registered Representative CRD No. 2506434 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cody Hawkins-Fitzgerald ("Hawkins") 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)
Cody Hawkins-Fitzgerald
11/12/2019
2018060554601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060554601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Steven Mullaly, Respondent General Securities Representative CRD No. 2679121 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John Steven Mullaly 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)
John Steven Mullaly
11/12/2019
2018059314101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059314101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rockney F. Garcia, Respondent Former Investment Company and Variable Contracts Representative CRD No. 6315252 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Rockney F. Garcia ("Garcia" or "Respondent") 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)
Rockney F. Garcia
11/12/2019
2017056341901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056341901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ralph G. Adamo, Respondent Former Registered Representative CRD No. 1624126 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ralph G. Adamo 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)
Ralph G. Adamo
11/12/2019
2016050847301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050847301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian J. Lockett, Respondent General Securities Representative CRD No. 4573162 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Brian J. Lockett ("Respondent" or "Lockett") 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)
Brian J. Lockett
11/12/2019
2016051256201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051256201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BGC Financial, L.P., Respondent Broker-Dealer CRD No. 19801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BGC Financial, L.P. (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)
BGC Financial, L.P.
11/12/2019
2015048347901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015048347901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Clint H. Keener, Respondent Registered Representative CRD No. 2250146 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Clint H. Keener 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)
Clint H. Keener
11/12/2019
2019061580601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061580601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lance Roman Armstrong, Respondent Former General Securities Representative CRD No. 4592423 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Lance Roman Armstrong 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)
Lance Roman Armstrong
11/12/2019
2017056197101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056197101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy Robert Millis, Respondent CRD No. 706959 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Timothy Robert Millis 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)
Timothy Robert Millis
11/11/2019
2019063631801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063631801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Philip Joseph Sparacino, Respondent Former Corporate Securities Representative and Registered Options Representative CRD No. 3243960 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Philip Joseph Sparacino 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)
Philip Joseph Sparacino
11/11/2019
2018059391501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059391501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jun Zhou, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 2825595 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jun Zhou 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)
Jun Zhou
11/11/2019
2018057112001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057112001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John G. Hoagland, Respondent Former Registered Representative CRD No. 247075 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John G. Hoagland 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. Hoagland
11/11/2019
2018060416901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060416901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gregory Voetsch, Respondent Former Registered Representative CRD No. 1223244 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Gregory Voetsch 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)
Gregory Voetsch
11/06/2019