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FINRA Disciplinary Actions Online

Displaying 1 - 15 of 15878
Case ID Case Summary Document Type Sort descending Firms/ Individuals Action Date
2018060818301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060818301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Heather Joy Baker, Respondent General Securities Representative CRD No. 4920460 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Heather Joy Baker ("Baker" 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)
Heather Joy Baker
09/10/2019
2017056602301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056602301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Clay Gavin Erickson, Respondent Former Investment Company and Variable Contracts Products Representative ("IR") CRD No. 1583644 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Clay Gavin Erickson submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
Clay Gavin Erickson
09/09/2019
2017053685201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053685201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jack Stone, Respondent General Securities Principal and General Securities Representative CRD No. 437327 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jack Stone submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
Jack Stone
09/09/2019
2019063054201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063054201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Apostolos Pitsironis, Respondent Former General Securities Representative Former General Securities Sales Supervisor CRD No. 2804907 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Apostolos Pitsironis submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
Apostolos Pitsironis
09/09/2019
2018060502601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060502601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John C. Howley, Respondent Former Registered Representative CRD No. 2229244 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John C. Howley ("Howley"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
John C. Howley
09/09/2019
2018060178301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060178301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Peter G. Plaut, Respondent Registered Representative CRD No. 2174346 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Peter G. Plaut ("Plaut"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
Peter G. Plaut
09/06/2019
2017055723501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055723501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Melissa Ann Strouse, Respondent Former Chief Compliance Officer and General Securities Principal CRD No. 3200452 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Melissa Ann Strouse 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)
Melissa Ann Strouse
09/09/2019
2019063523501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063523501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael Barry Carter, Respondent Former Registered Representative CRD No. 3232017 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael Barry Carter 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)
Michael Barry Carter
09/09/2019
2018059317501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059317501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jeffrey L. Vasilo, Respondent General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 3180004 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jeffrey L. Vasiloff submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
Jeffrey L. Vasiloff
09/06/2019
2016048196801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048196801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kalos Capital, Inc., Respondent FINRA Member Firm BD No. 44337 Darren Michael Kubiak, Respondent General Securities Representative CRD No. 1239086 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Kalos Capital, Inc. ("Kalos" or "the Firm") and Darren Michael Kubiak ("Kubiak") 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)
Kalos Capital,Inc.
Darren Michael Kubiak
09/06/2019
2017053574801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053574801 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Daniel W. Staudacher, Respondent Investment Company and Variable Products Representative CRD No. 2878221 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent, Daniel W. Staudacher, submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described AWCs (Letters of Acceptance, Waiver, and Consent)
Daniel W. Staudacher
09/05/2019
2018058316601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058316601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stefan Pastor, Respondent General Securities Representative CRD No. 5141819 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Stefan Pastor ("Pastor" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of AWCs (Letters of Acceptance, Waiver, and Consent)
Stefan Pastor
09/04/2019
2017055477301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055477301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jedediah Elvin Dahl, Respondent General Securities Representative CRD No. 5517556 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Jedediah Elvin Dahl (“Dahl” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged AWCs (Letters of Acceptance, Waiver, and Consent)
Jedediah Elvin Dahl
08/30/2019