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FINRA Disciplinary Actions Online

Displaying 16 - 30 of 16088
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2016051474801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051474801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dash Financial Technologies LLC (f/k/a Dash Financial LLC and Electronic Brokerage Systems LLC), Respondent Broker-Dealer CRD No. 104031 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dash Financial Technologies LLC f/k/a Dash Financial LLC, and Electronic Brokerage Systems LLC ("Dash" 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)
Dash Financial Technologies LLC (f/k/a Dash Financial LLC and Electronic Brokerage Systems LLC)
01/02/2020
2014041541401 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Cabot Lodge Securities LLC (CRD No. 159712), Respondent. Disciplinary Proceeding NO. 2014041541401 Hearing Officer: COMPLAINT The Department of Enforcement alleges: Summary 1. From August 2012 to February 2016 (the “Relevant Period"), Cabot Lodge Securities LLC (“Cabot Lodge" or the “Firm") participated in an initial public offering (“IPO") of a non-traded real estate investment trust (the “REIT") in which the Complaints
Cabot Lodge Securities LLC
01/02/2020
2017052543601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052543601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cambridge Investment Research, Inc., Respondent Member Firm CRD No. 39543 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cambridge Investment Research, Inc. ("Cambridge" 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. This AWC AWCs (Letters of Acceptance, Waiver, and Consent)
Cambridge Investment Research, Inc.
12/31/2019
2016050948101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050948101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Oppenheimer & Co. Inc., Respondent Member Firm CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Oppenheimer & Co. Inc. ("Oppenheimer" 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)
Oppenheimer & Co. Inc.
12/30/2019
2017052392101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052392101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Microventure Marketplace Inc., Respondent Member Firm CRD No. 152513 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Microventure Marketplace Inc. ("Microventure" 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. This AWC is submitted on the condition AWCs (Letters of Acceptance, Waiver, and Consent)
Microventure Marketplace Inc.
12/30/2019
2015045677201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045677201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TD Ameritrade, Inc., Respondent Member Firm CRD No. 7870 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent TD Ameritrade, Inc. (the "Firm" 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. This AWC AWCs (Letters of Acceptance, Waiver, and Consent)
TD Ameritrade, Inc.
12/30/2019
2018058481501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058481501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bruno H. Silva, Respondent General Securities Representative CRD No. 6820531 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Bruno H. Silva 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 AWCs (Letters of Acceptance, Waiver, and Consent)
Bruno H. Silva
12/30/2019
2018058621001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058621001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: LPL Financial LLC, Respondent Member Firm CRD No. 6413 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent LPL Financial LLC ("LPL" 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)
LPL Financial LLC
12/26/2019
2017053791901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053791901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: J.P. Morgan Securities LLC, Respondent Member Firm CRD No. 79 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent J.P. Morgan Securities LLC ("JPMS" 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)
J.P. Morgan Securities LLC
12/26/2019
2018060038701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060038701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Morgan Stanley Smith Barney LLC, Respondent Member Firm CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Morgan Stanley Smith Barney LLC ("MSSB" 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)
Morgan Stanley Smith Barney LLC
12/26/2019
2018059381801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059381801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Member Firm CRD No. 7691 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch" 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)
Merrill Lynch, Pierce, Fenner & Smith Incorporated
12/26/2019
2018060039001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060039001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc., Respondent Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Citigroup Global Markets Inc. ("CGMI" 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)
Citigroup Global Markets Inc.
12/26/2019
2012034734501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034734501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Credit Suisse Securities (USA) LLC (“Credit Suisse” 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)
Credit Suisse Securities (USA) LLC
12/23/2019
2018060415301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060415301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Howard Brian Landers, Respondent Former General Securities Principal CRD No. 1233612 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Howard Brian Landers 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 AWCs (Letters of Acceptance, Waiver, and Consent)
Howard Brian Landers
12/23/2019
2018060812901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060812901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph Monroe Lawrence III, Respondent Former General Securities Representative CRD No. 5605961 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Joseph Monroe Lawrence III 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)
Joseph Monroe Lawrence III
12/23/2019