For updates and guidance related to COVID-19 / Coronavirus, click here.
FINRA Disciplinary Actions Online
Displaying 1 - 15 of 17001
| Case ID | Case Summary | Document Type Sort descending | Firms/ Individuals | Action Date |
|---|---|---|---|---|
| 2011029709701 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029709701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dominick A. Zavaglia, Jr., Respondent General Securities Representative CRD No. 5500264 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Dominick A. Zavaglia, Jr., submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a | AWCs (Letters of Acceptance, Waiver, and Consent) | DOMINICK A. ZAVAGLIA JR. |
01/11/2012 |
| CLG050050 | NASD MARKET REGULATION NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Market Regulation Department NASD RE: William Blair & Company, L.L.C. CRD No. 1252 Pursuant to Rule 9216 of NASD Code of Procedure, William Blair & Company, LX.C ("WBLR" or the "firm” submits this Letter of Acceptance, Waiver and Consent ("AWC”) for the purpose of proposing a settlement of the alleged rule | AWCs (Letters of Acceptance, Waiver, and Consent) | WILLIAM BLAIR and COMPANY, L.L.C. |
05/02/2005 |
| E3A2005004302 | NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E3A2005004302 TO: Department of Enforcement NASD RE: Fox &. Company Investments Inc. Respondent Broker-Dealer CRD No, 18517 Pursuant to Rule 9216 of NASD Code of Procedure, Fox & Company Investments Inc. (“Respondent" 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 in Part II below. This AWC is submitted on the condition that, if accepted, | AWCs (Letters of Acceptance, Waiver, and Consent) | FOX and COMPANY INVESTMENTS INC. |
09/15/2006 |
| E3A2004024601 | NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E3A2004024601 TO: Department of Enforcement NASD RE: Hornor, Townsend & Kent, Inc., Respondent NASD Member CRD No. 4031 Pursuant to Rule 9216 of NASD Code of Procedure, Hornor, Townsend & Kent, Inc., [the firm or Respondent] 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 | AWCs (Letters of Acceptance, Waiver, and Consent) | HORNOR, TOWNSEND and KENT, INC. |
10/27/2005 |
| E3A2004003401 | NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E3A2004003401 TO: Department of Enforcement NASD RE: American Funds & Trusts, Inc., Member CRD No. 1066 Pursuant to Rule 9216 of NASD Code of Procedure, American Funds & Trusts, Inc., [Respondent 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 in Part II below. This AWC is submitted on | AWCs (Letters of Acceptance, Waiver, and Consent) | AMERICAN FUNDS and TRUSTS, INC. |
08/29/2005 |
| E112005019101 | NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E112005019101 TO: Department of Enforcement NASD RE: Moors & Cabot, Inc. Member CRD No. 594 Pursuant to Rule 9216 of NASD Code of Procedure, Moors & Cabot, Inc. ("Moors & Cabot”) 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 | AWCs (Letters of Acceptance, Waiver, and Consent) | MOORS and CABOT, INC. |
12/06/2006 |
| E3A2005002701 | NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E3A2005002701 TO: Department of Enforcement NASD RE: Bathgate Capital Partners LLC, Respondent Member Firm CRD No. 38923 Pursuant to Rule 9216 of 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, | AWCs (Letters of Acceptance, Waiver, and Consent) | GVC CAPITAL LLC, BATHGATE CAPITAL PARTNERS LLC |
04/25/2007 |
| 2018057586601 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057586601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gary L. Pevey, Respondent Registered Representative CRD No. 2129469 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Gary L. Pevey 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) | Gary L. Pevey |
01/04/2019 |
| 2017053596502 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053596502 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Woodbury Financial Services, Inc., Respondent CRD No. 421 Pursuant to FINRA Rule 9216 of FINRA's 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 | AWCs (Letters of Acceptance, Waiver, and Consent) | Woodbury Financial Services, Inc. |
05/13/2019 |
| 2019061567201 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061567201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dean Harrison Grant, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 1945209 Pursuant to 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 | AWCs (Letters of Acceptance, Waiver, and Consent) | Dean Harrison Grant |
05/13/2019 |
| 2018059633801 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059633801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Oriental Financial Services Corp., Respondent CRD No. 29753 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oriental Financial Services Corp. ("Oriental" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement | AWCs (Letters of Acceptance, Waiver, and Consent) | Oriental Financial Services Corp. |
05/13/2019 |
| 2016051098501 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051098501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dominic Tropiano An Unregistered Representative CRD No. 4761462 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Dominic Tropiano submit 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) | Dominic Tropiano |
05/09/2019 |