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FINRA Disciplinary Actions Online

Displaying 1 - 15 of 16488
Case ID Case Summary Document Type Firms/ Individuals Action Date
2019062271501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062271501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Harry Rosenberg, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 2682841 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Harry Rosenberg 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)
Harry Rosenberg
 		09/22/2020
2018060180102 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060180102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Neil James Buono, Respondent Former Investment Company & Variable Contracts Products Representative CRD No. 6768349 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Neil Buono (Buono) 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)
Neil James Buono
 		09/21/2020
2014039174202 BEFORE THE FINANCIAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Steven E. Larson Nisswa, MN, Respondent. DECISION Complaint No. 2014039174202 Dated: September 21, 2020 Registered principal fraudulently misrepresented and omitted material facts, failed to comply fully and promptly with FINRA requests for information, backdated and provided falsified records to FINRA, and filed a misleading NAC Decisions
Steven E. Larson
 		09/21/2020
2015043646501 BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Eric S. Smith Troy, MI, Respondent. DECISION Complaint No. 2015043646501 Dated: September 18, 2020 Respondent fraudulently misrepresented and omitted material facts in connection with the sale of securities and failed to register as a general securities representative and principal despite engaging in conduct requiring registration. Held, findings affirmed NAC Decisions
Eric S. Smith
 		09/18/2020
2019062789901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062789901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roger Allan Duval, Respondent General Securities Representative CRD No. 2503718 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Roger Allan Duval 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)
Roger Allan Duval
 		09/18/2020
2019062326101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062326101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Griffinest Asia Securities LLC, Respondent Member Firm CRD No. 132187 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Griffinest Asia 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. AWCs (Letters of Acceptance, Waiver, and Consent)
Griffinest Asia Securities LLC
 		09/17/2020
2016050938301 BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Michael Joseph Clarke Jersey City, NJ, Respondent. DECISION Complaint No. 2016050938301 Dated: September 17, 2020 Registered representative converted funds made material misrepresentations, and executed bad checks and failed electronic transfers. Held, findings and sanctions modified in part. NAC Decisions
Michael Joseph Clarke
 		09/17/2020
2020067686301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020067686301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew O. Clason, Respondent Former Registered Representative CRD No. 4692266 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent, Matthew O. Clason 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 O. Clason
 		09/17/2020
2019063901501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063901501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ferrell Lee Rollins Jr., Respondent Former General Securities Representative CRD No. 1449560 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ferrell Lee Rollins Jr. 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)
Ferrell Lee Rollins Jr.
 		09/14/2020
2020066435801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066435801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alonzo C. Castillo, Respondent Former Associated Person CRD No. 7207820 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Alonzo C. Castillo 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)
Alonzo C. Castillo
 		09/14/2020
2018060527701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060527701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Leroy Johnson, Respondent Former General Securities Representative CRD No. 3147633 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David Leroy Johnson (Johnson 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)
David Leroy Johnson
 		09/14/2020
2019062245601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062245601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lauren L. Wing, Respondent Former General Securities Representative CRD No. 5803987 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Lauren L. Wing 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)
Lauren L. Wing
 		09/10/2020
2017053820401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053820401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: INTL FCStone Financial Inc., Respondent Member Firm CRD No. 45993 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent INTL FCStone Financial 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)
INTL FCStone Financial Inc.
 		09/10/2020
2016051318601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051318601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: ViewTrade Securities, Incorporated, Respondent Member Finn CRD No. 46987 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent ViewTrade Securities, Incorporated (ViewTrade 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)
ViewTrade Securities, Incorporated
 		09/10/2020
2019062346201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062346201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Patrick J. Knox, Respondent General Securities Representative CRD No. 1206837 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Patrick J. Knox 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 J. Knox
 		09/09/2020