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FINRA Disciplinary Actions Online

Displaying 1 - 15 of 15878
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
CMS040224 NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, V. SONJA RUDD (CRD 2683330) Respondent. DISCIPLINARY PROCEEDING No. CMS040224 HEARING OFFICER: COMPLAINT Upon information and belief, the Department of Market Regulation alleges as follows: Summary of the Case 1. While registered at member firm Edward D. Jones & Co., L.P. ("Edward Jones"), Respondent Sonja Rudd circulated false and misleading investment opinions and research reports, which included fraudulent and Complaints
SONJA RUDD
01/03/2005