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FINRA Disciplinary Actions Online
Displaying 1 - 15 of 17001
| Case ID | Case Summary | Document Type | Firms/ Individuals | Action Date Sort descending |
|---|---|---|---|---|
| C07040090 | NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Cardinal Capital Management, Inc., CRD No. 24605, and Christopher Sweeney, CRD No. 823375, Respondents. Disciplinary Proceeding No. C07040090 Hearing Officer -SW ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 3,2005. INTRODUCTION Disciplinary Proceeding No. C07040090 was filed on November 4, 2004, by the Department of Enforcement of NASD | OHO Decisions | CARDINAL CAPITAL MANAGEMENT, INC. CHRISTOPHER SWEENEY |
01/03/2005 |
| C9B040112 | NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILLIAM E. JASKO (CRD No. 2103111) Respondent. Disciplinary Proceeding No. C9B040112 Hearing Officer - COMPLAINT Upon information and belief, Complainant alleges the following: 1. Respondent William E. Jasko ("Jasko") became registered with NASD as a Series 7 general securities representative on or about December 3, 1990. 2. From on or about October 1, 1990, through on or about March 31, 2000, Jasko was employed by Merrill | Complaints | WILLIAM E. JASKO |
01/03/2005 |
| C02050001 | NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C02050001 TO: Department of Enforcement NASD RE: Max Dong Ho Lee, Associated Person CRD No. 4578087 Pursuant to Rule 9216 of NASD 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging violations based on the same | AWCs (Letters of Acceptance, Waiver, and Consent) | MAX DONG HO LEE |
01/03/2005 |
| C9A040062 | NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C9A040062 TO: Department of Enforcement NASD RE: David A. De Blasio, Respondent CRD No. 2304878 Pursuant to Rule 9216 of NASD's Code of Procedure, David A. DeBlasio submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging violations based | AWCs (Letters of Acceptance, Waiver, and Consent) | DAVID A. DE BLASIO |
01/03/2005 |
| C9A040064 | NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C9A040064 TO: Department of Enforcement NASD RE: Scott I. Martin, Respondent CRD No. 2562741 Pursuant to Rule 9216 of NASD's Code of Procedure, Scott I. Martin submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging violations based on | AWCs (Letters of Acceptance, Waiver, and Consent) | SCOTT I. MARTIN |
01/03/2005 |
| C01040034 | NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C01040034 TO: Department of Enforcement NASD RE: Edwin John Torres, Respondent General Securities Principal [CRD No. 2736704] Pursuant to Rule 9216 of NASD 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging | AWCs (Letters of Acceptance, Waiver, and Consent) | EDWIN JOHN TORRES |
01/03/2005 |
| C05040090 | NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C05040090 TO: Department of Enforcement NASD RE: John S. Cotton, Respondent General Securities Principal and General Securities Representative [CRD No. 1835778] Pursuant to Rule 9216 of the NASD Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not | AWCs (Letters of Acceptance, Waiver, and Consent) | JOHN S. COTTON |
01/03/2005 |
| C02040058 | NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C02040058 TO: Department of Enforcement NASD RE: Angelo Achilles Armenta Genera! Securities Principal (CRD No. 1537445) Pursuant to Rule 9216 of NASD 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging violations | AWCs (Letters of Acceptance, Waiver, and Consent) | ANGELO ACHILLES ARMENTA |
01/03/2005 |
| C05040089 | NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C05040089 TO: Department of Enforcement NASD RE: Christopher Udell, Respondent General Securities Representative [CRD No. 2740197] Pursuant to Rule 9216 of the NASD Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against | AWCs (Letters of Acceptance, Waiver, and Consent) | CHRISTOPHER UDELL |
01/03/2005 |
| C10040127 | NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C10040127 Department of Enforcement NASD Burnham Securities, Inc., Respondent BD No. 22549 Pursuant to Rule 9216 of NASD Code of Procedure, Burnham Securities, Inc. ("Burnham" or ''Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part D below. This AWC is submit | AWCs (Letters of Acceptance, Waiver, and Consent) | BURNHAM SECURITIES, INC. |
01/03/2005 |
| C10040129 | NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.## C10040129 TO: Department of Enforcement NASD RE: Brian Taggart (CRD No. 2394575) Pursuant to Rule 9216 of NASD Code of Procedure. Brian Taggart ("Taggart" or "Respondent") submits this Letter of Acceptance. Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted. NASD will not bring any future actions against Respondent | AWCs (Letters of Acceptance, Waiver, and Consent) | BRIAN TAGGART |
01/03/2005 |
| C9A030041 | NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES M. COYNE, SR. (CRD No. 601719) Respondent. Disciplinary Proceeding No. C9A030041 Hearing Officer - DRP AMENDED PANEL DECISION January 3, 2005 Respondent violated NASD Conduct Rules 2310 and 2110 and IM-2310-2 by recommending unsuitable trading in an account. For these violations, Respondent is suspended for four months from association with any member firm in any capacity and fined $10,000. Charges that Respondent churned the | OHO Decisions | JAMES M. COYNE, SR. |
01/03/2005 |