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FINRA Disciplinary Actions Online

Displaying 1 - 15 of 16033
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2019061332701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061332701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gerald T. Coyne, Respondent General Securities Representative CRD No. 4589061 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Gerald T. Coyne 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 T. Coyne
12/10/2019
2018060504601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060504601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Darby, Respondent Registered Representative CRD No. 1659917 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent William Darby 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)
William Darby
12/10/2019
2017052480101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052480101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Aeon Capital Inc., Respondent Member Firm CRD No. 164004 Vincent Michael Bruno, Respondent General Securities Representative, General Securities Principal, Operations Professional, Compliance Officer Investment Banking Representative, Investment Banking Principal, Municipal Securities Representative, and Municipal Securities Principal CRD No. 1845833 AWCs (Letters of Acceptance, Waiver, and Consent)
Aeon Capital Inc.
Vincent Michael Bruno
12/10/2019
2018057708001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047496101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brett David Levinson, Respondent General Securities Representative CRD No. 2644880 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Brett David Levinson 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)
Brett David Levinson
12/10/2019
2013035865303 BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Spencer Edwards, Inc. Centennial, CO, Respondent. DECISION Complaint No. 2013035865303 Dated: December 10, 2019 Spencer Edwards: (1) sold unregistered and nonexempt microcap securities; (2) failed to establish and maintain a supervisory system, including written supervisory procedures, that was reasonably designed to prevent the sale of unregistered and nonexempt microcap securities; NAC Decisions
Spencer Edwards, Inc.
12/10/2019
2019063869401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063869401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Rachel Lorenzo Tibbie, Respondent Former Associated Person CRD No. 6856785 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Rachel Lorenzo Tibbie 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)
Rachel Lorenzo Tibbie
12/09/2019
2017054267101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054267101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Louis Ward, Respondent General Securities Representative, General Securities Principal, Investment Banking Representative, Investment Banking Principal, and Operations Professional CRD No. 2080639 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Louis Ward 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)
Louis Ward
12/09/2019
2018057449501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057449501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kathryn Renee Charpie, Respondent Former Registered Representative CRD No. 840016 In accordance with FINRA Rule 9216 of FINRA's Code of Procedure, I 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)
Kathryn Renee Charpie
12/09/2019
2015047496101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047496101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brett David Levinson, Respondent General Securities Representative CRD No. 2644880 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Brett David Levinson 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)
Brett David Levinson
12/09/2019
2015047496103 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047496103 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Harvey Frank, Respondent General Securities Representative CRD No. 2109605 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Harvey Frank 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)
Harvey Frank
12/09/2019
2015044806901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150448069101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Nomura Securities International, Inc., Respondent Member Firm CRD No. 4297 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Nomura Securities International, Inc. ("Nomura" 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)
Nomura Securities International, Inc.
12/06/2019
2016051813401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051813401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: KGS-Alpha Capital Markets, L.P., n/k/a BMO Capital Markets Corp., Respondent Broker-Dealer CRD No. 151705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent KGS-Alpha Capital Markets, L.P. ("KGS-Alpha" or the "Firm"), n/k/a BMO Capital Markets Corp. 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)
KGS-Alpha Capital Markets, L.P., n/k/a BMO Capital Markets Corp.
12/06/2019
2018060216701 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bryce Patrick Jenney CRD No. 6207379, Respondent. Disciplinary Proceeding No. 2018060216701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Bryce Patrick Jenney ("Respondent" or "Jenney") failed to provide Complaints
Bryce Patrick Jenney
12/06/2019
2017053462401 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT HENDERSON (CRD No. 1160413), Respondent. DISCIPLINARY PROCEEDING No. 2017053462401 COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. Between December 17, 2010 and October 4, 2018, Respondent Robert Henderson Complaints
Robert Henderson
12/06/2019
2018060848101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060848101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew Fairchild, Respondent General Securities Representative CRD No. 1959274 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Andrew Fairchild submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violation described below. AWCs (Letters of Acceptance, Waiver, and Consent)
Andrew Fairchild
12/06/2019