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FINRA Disciplinary Actions Online

Displaying 1 - 15 of 16591
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2018057226601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057226601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kurt Jason Gunter, Respondent General Securities Representative CRD No. 2747789 Pursuant to FINRA Rule 9216, Respondent Kurt Jason Gunter 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)
Kurt Jason Gunter
11/20/2020
2019061187801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061187801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vincent A. Virga (Respondent) General Securities Representative CRD No. 5070668 Pursuant to FINRA Rule 9216, Respondent Vincent A. Virga 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)
Vincent A. Virga
11/20/2020
2018059545203 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059545203 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Southern Trust Securities, Inc., Respondent Member Firm CRD No. 103781 Susan Molina Escobio, Respondent General Securities Principal CRD No. 1062322 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Southern Trust Securities, Inc. (STS) and Susan Molina Escobio 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)
Southern Trust Securities, Inc.
Susan Molina Escobio
11/19/2020
2019063586701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063586701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew Thomas Jennings, (Respondent) Former General Securities Representative CRD No. 6762685 Pursuant to FINRA Rule 9216, Respondent Matthew Thomas Jennings 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)
Matthew Thomas Jennings
11/19/2020
2018057239701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057239701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dealerweb Inc. (Respondent) Member Firm CRD No. 19662 Pursuant to FINRA Rule 9216, Respondent Dealerweb Inc. 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)
Dealerweb Inc.
11/19/2020
2019064516901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064516901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Hillman Timberlake (Respondent) Former General Securities Representative CRD No. 2109445 Pursuant to FINRA Rule 9216, Respondent John Hillman Timberlake 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 Hillman Timberlake
11/18/2020
2018060312301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060312301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David T. Phillips, Respondent Former General Securities Representative CRD No. 3094195 Pursuant to FINRA Rule 9216, Respondent David T. Phillips 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 T. Phillips
11/18/2020
2017054755207 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054755207 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brett S. Briggs (Respondent) General Securities Principal, General Securities Sales Supervisor, and General Securities Representative CRD No. 1226255 Pursuant to FINRA Rule 9216, Respondent Brett S. Briggs 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 condition that AWCs (Letters of Acceptance, Waiver, and Consent)
Brett S. Briggs
11/17/2020
2017054755208 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054755208 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Efrain B. Trujillo (Respondent) General Securities Principal and General Securities Representative CRD No. 3106482 Pursuant to FINRA Rule 9216, Respondent Efrain B. Trujillo 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)
Efrain B. Trujillo
11/17/2020
2019061187102 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ji Jun Yang CRD No. 6084289, Respondent. Disciplinary Proceeding No. 2019061187102 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From September 2015 through November 2018, while associated with RBC Capital Markets, LLC (the firm), Respondent Ji Jun Yang converted approximately $41,000 from the firm by causing it to pay for fictitious meal and taxi expenses charged to Yang’s firm-issued corporate Complaints
Ji Jun Yang
11/16/2020
2018059919702 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Lynn Dale Cawthorne CRD No. 3211221, Respondent. Disciplinary Proceeding No. 2018059919702 Hearing Officer—BEK ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 16, 2020 INTRODUCTION Disciplinary Proceeding No. 2018059919702 was filed on August 25, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Lynn Dale Cawthorne Orders Accepting Offers of Settlement
Lynn Dale Cawthorne
11/16/2020
2019064876101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064876101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roland Gerbauld, Respondent Former General Securities Representative CRD No. 4494232 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Roland Gerbauld 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)
Roland Gerbauld
11/16/2020
2019062406701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062406701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Philip Anthony Simone (Respondent) General Securities Representative CRD No. 1623827 Pursuant to FINRA Rule 9216, Respondent Philip Anthony Simone 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 Anthony Simone
11/13/2020
2018060737301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060737301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ming Dang (Respondent) Former Investment Banking Representative CRD No. 5547457 Pursuant to FINRA Rule 9216, Respondent Ming Dang 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 condition that, AWCs (Letters of Acceptance, Waiver, and Consent)
Ming Dang
11/13/2020
2016051085001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016051085001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citadel Securities LLC (Respondent) Member Firm CRD No. 116797 Pursuant to FINRA Rule 9216, Respondent Citadel Securities LLC 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 condition that, if AWCs (Letters of Acceptance, Waiver, and Consent)
Citadel Securities LLC
11/13/2020