Skip to main content

FINRA Disciplinary Actions Online

Displaying 1 - 15 of 16107
Case ID Case Summary Document Type Sort descending Firms/ Individuals Action Date
2018058765701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058765701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael G. King, Jr., Respondent Former General Securities Representative and General Securities Principal CRD No. 1264094 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael G. King, 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)
Michael G. King, Jr.
10/30/2019
2018059632301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059632301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wessam Baiz, Respondent Former Registered Representative CRD No. 6501692 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Wessam Baiz ("Respondent" or "Baiz"), 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)
Wessam Baiz
10/25/2019
2018060875701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060875701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stuart Blake Nichols, Respondent General Securities Representative CRD No. 4932310 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Stuart Blake Nichols 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)
Stuart Blake Nichols
10/25/2019
2017056524801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056524801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jennifer Lyn McKay, Respondent General Securities Representative CRD No. 6637784 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jennifer Lyn McKay ("McKay" or "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)
Jennifer Lyn McKay
10/24/2019
2017056121501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056121501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel P. Slattery, Respondent Former Registered Representative CRD No. 4655445 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Daniel P. Slattery, 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)
Daniel P. Slattery
10/24/2019
2019061994701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061994701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dennis A. Mehringer, Jr., Respondent Former Registered Representative CRD No. 722569 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 violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
Dennis A. Mehringer, Jr.
10/18/2019
2016052226801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052226801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Insight Securities, Inc., Respondent Member Firm CRD No. 5611 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Insight Securities, Inc. ("Insight Securities" 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)
Insight Securities, Inc.
10/17/2019
2016052072601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052072601 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: World Equity Group, Inc., Respondent Member Firm CRD No. 29087 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, World Equity Group, Inc. (“Respondent,” “World Equity,” or the “Firm”) 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)
World Equity Group, Inc.
10/18/2019
2016049448301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160494483-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Apex Clearing Corporation, Respondent Member Firm CRD No. 13071 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Apex Clearing Corporation ("Apex" 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)
Apex Clearing Corporation
10/15/2019
2018058482401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058482401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mark Andrew Cramer, Respondent Investment Company and Variable Contracts Products Representative CRD No. 1313587 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Mark Andrew Cramer 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)
Mark Andrew Cramer
10/14/2019
2017053206501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20170532065-01 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Dougherty & Company LLC, Respondent Member Firm CRD No. 7477 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Dougherty & Company LLC (“Dougherty” 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)
Dougherty & Company LLC
10/14/2019
2018059948101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059948101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Erlloisse Magan, Respondent Former Registered Representative CRD No. 3146325 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Erlloisse Magan ("Magan") 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)
Erlloisse Magan
10/10/2019
2016050914401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050914401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Simon Michael Joseph, Respondent General Securities Representative CRD No. 5602157 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Simon Michael Joseph 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)
Simon Michael Joseph
10/10/2019