FINRA Disciplinary Actions Online

Displaying 1 - 15 of 16107
Case ID Case Summary Document Type Firms/ Individuals Action Date
2017052466302 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052466302 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert F. Spiegel, Respondent Former General Securities Representative CRD No. 5861656 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert F. Spiegel 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 F. Spiegel
 		01/24/2020
2014041541402 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041541402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Craig M. Gould, Respondent General Securities Principal CRD No. 2367293 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Craig M. Gould 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)
Craig M. Gould
 		01/23/2020
2014041541403 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041541403 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Howard Davis, Respondent General Securities Principal CRD No. 1782118 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Howard Davis 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)
Howard Davis
 		01/23/2020
2018059595101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059595101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kari M. Bracy, Respondent Investment Company Variable Contracts Representative CRD No. 5656186 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Kari M. Bracy ("Bracy" 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)
Kari M. Bracy
 		01/23/2020
2019061135101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061135101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas J. Crossett, Former General Securities Representative CRD No. 3223221 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Thomas J. Crossett 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 J. Crossett
 		01/23/2020
2018057609601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057609601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wesley K. Omoto, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 1507340 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Wesley K. Omoto 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 the AWCs (Letters of Acceptance, Waiver, and Consent)
Wesley K. Omoto
 		01/23/2020
2016050912001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050912001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher R. Barone, Respondent Former Registered Representative CRD No. 2032268 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Christopher R. Barone 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 AWCs (Letters of Acceptance, Waiver, and Consent)
Christopher R. Barone
 		01/23/2020
2019063631802 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063631802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Leahy, Respondent General Securities Representative and General Securities Principal CRD No. 1899498 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael Leahy 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 Leahy
 		01/22/2020
2019064596401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064596401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Charles Jonathan Evan, Respondent Former Registered Representative CRD No. 836083 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Charles Jonathan Evan 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)
Charles Jonathan Evan
 		01/22/2020
2016051209103 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Shawna Choate (CRD No. 2432397), Respondent. Disciplinary Proceeding No. 2016051209103 Hearing Officer LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 21, 2020 INTRODUCTION Disciplinary Proceeding No. 2016051209103 was filed on June 18, 2019, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Shawna Choate submitted an Offer of Settlement (Offer) to Orders Accepting Offers of Settlement
Shawna Choate
 		01/21/2020
2017054826001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054826001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sean P. Waggoner Investment Company and Variable Contracts Products Representative CRD No. 2748574 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Sean P. Waggoner 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)
Sean P. Waggoner
 		01/21/2020
2018060065701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060065701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Zachary Scott Wagner, Respondent General Securities Representative CRD No. 6694074 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Zachary Scott Wagner ("Respondent" or "Wagner"), submit 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)
Zachary Scott Wagner
 		01/21/2020
2017055395801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055395801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Albert Foronda, Respondent General Securities Representative CRD No. 5737620 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Albert Foronda ("Foronda" 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)
Albert Foronda
 		01/17/2020
2018059749401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059749401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew Grant, Respondent General Securities Representative CRD No. 2709882 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Andrew Grant 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)
Andrew Grant
 		01/17/2020
2018058262001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058262001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul William Petrillo, Respondent Former General Securities Representative CRD No. 2212735 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Paul William Petrillo 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 William Petrillo
 		01/17/2020