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FINRA Disciplinary Actions Online
Displaying 16 - 30 of 17001
| Case ID | Case Summary | Document Type | Firms/ Individuals | Action Date Sort ascending |
|---|---|---|---|---|
| 2021070337401 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Kishan Parikh (CRD No. 5506554), Respondent. Disciplinary Proceeding No. 2021070337401 Hearing Officer-DDM DEFAULT DECISION July 7, 2021 Respondent Kishan Parikh engaged in excessive trading and unauthorized trading. For excessive trading, he is suspended for 18 months in all capacities and fined $5,000. For the unauthorized trading, he is suspended for | OHO Decisions | Kishan Parikh |
07/07/2021 |
| 2021071026301 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071026301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tyler Rigsbee (Respondent) Former General Securities Representative CRD No. 6351278 Pursuant to FINRA Rule 9216, Respondent Tyler Rigsbee 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) | Tyler Rigsbee |
07/07/2021 |
| 2020068089401 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068089401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeanet C. Lee (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4766237 Pursuant to FINRA Rule 9216, Respondent Jeanet C. Lee 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) | Jeanet C. Lee |
07/06/2021 |
| 2021071153001 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071153001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Swon IV (Respondent) Former General Securities Representative CRD No. 5591686 Pursuant to FINRA Rule 9216, Respondent John Swon IV 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) | John Swon IV |
07/06/2021 |
| 2019060694201 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060694201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sanctuary Securities, Inc., (formerly known as David A. Noyes & Company) (Sanctuary or Respondent) Member Firm CRD No. 205 Pursuant to FINRA Rule 9216, Respondent submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is | AWCs (Letters of Acceptance, Waiver, and Consent) | Sanctuary Securities, Inc., (formerly known as David A. Noyes & Company) |
07/01/2021 |
| 2020065347502 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065347502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Fernando Luis Monllor Arzola (Respondent) General Securities Representative CRD No. 3098650 Pursuant to FINRA Rule 9216, Respondent Fernando Luis Monllor Arzola (Monllor) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC | AWCs (Letters of Acceptance, Waiver, and Consent) | Fernando Luis Monllor Arzola |
07/01/2021 |
| 2019063529101 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063529101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lawrence Moskowitz (Respondent) Former General Securities Representative Former Investment Company and Variable Contracts Products Representative CRD No. 2026186 Pursuant to FINRA Rule 9216, Respondent Lawrence Moskowitz 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) | Lawrence Moskowitz |
07/01/2021 |
| 2018056858102 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056858102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gary M. Bowman (Respondent) General Securities Representative CRD No. 2035699 Pursuant to FINRA Rule 9216, Respondent Gary M. Bowman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, | AWCs (Letters of Acceptance, Waiver, and Consent) | Gary M. Bowman |
07/01/2021 |
| 2019060694202 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060694202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stuart L. Pearl (Respondent) Former General Securities Representative CRD No. 1500833 Pursuant to FINRA Rule 9216, Respondent Stuart L. Pearl 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) | Stuart L. Pearl |
07/01/2021 |
| 2021070491301 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070491301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Juan M. Ceja (Respondent) Former Investment Company and Variable Contracts Products Principal; and Investment Company and Variable Contracts Products Representative CRD No. 2732374 Pursuant to FINRA Rule 9216, Respondent Juan M. Ceja submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the | AWCs (Letters of Acceptance, Waiver, and Consent) | Juan M. Ceja |
07/01/2021 |
| 2017056432603 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017056432603 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher G. Orlando (Respondent) Former General Securities Representative CRD No. 4136262 Pursuant to FINRA Rule 9216, Respondent Christopher G. Orlando 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) | Christopher G. Orlando |
06/30/2021 |
| 2019062574901 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062574901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Thomas Carl (Respondent) Former General Securities Representative CRD No. 3023492 Pursuant to FINRA Rule 9216, Respondent Michael Thomas Carl 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 Thomas Carl |
06/30/2021 |
| 2020066971201 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066971201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robinhood Financial LLC (Respondent) Member Firm CRD No. 165998 Pursuant to FINRA Rule 9216, Respondent Robinhood Financial LLC 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) | Robinhood Financial LLC |
06/30/2021 |
| 2019063570502 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MATTHEW R. LOGAN (CRD No. 5366984), Respondent. Disciplinary Proceeding No. 2019063570502 Hearing Officer-RES HEARING PANEL DECISION June 29, 2021 Respondent Matthew R. Logan is barred from associating with any FINRA | OHO Decisions | Matthew R. Logan |
06/29/2021 |
| 2020066888001 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066888001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Martin J. Petela (Respondent) General Securities Representative CRD No. 5587657 Pursuant to FINRA Rule 9216, Respondent Martin J. Petela submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC. | AWCs (Letters of Acceptance, Waiver, and Consent) | Martin J. Petela |
06/29/2021 |