Skip to main content

FINRA Disciplinary Actions Online

Displaying 15856 - 15870 of 16107
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
C06050002 NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Robert Michael Graves, Jr. CRD No. 2093814 Respondent Disciplinary Proceeding No. C06050002 Hearing Officer: AWH Date: 4/1/05 ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. C06050002 was filed on January 7, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Robert Michael Graves, Jr. submitted an Offer of Settlement ("Offer") to Complainant on March 17, 2005. Orders Accepting Offers of Settlement
ROBERT MICHAEL GRAVES, JR.
04/01/2005
C02050025 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C02050025 TO: Department of Enforcement NASD RE: Sean Teamor, Respondent General Securities Representative CRD No. 3126324 Pursuant to Rule 9216 of NASD 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging AWCs (Letters of Acceptance, Waiver, and Consent)
SEAN TEAMOR
04/01/2005
C10050012 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C10050012 Department of Enforcement NASD Monex Securities Inc. (BD No. 30362) Respondent and Pursuant to Rule 9216 of NASD Code of Procedure, Monex Securities Inc. (formerly known as CBI International Securities, Inc.) (BD No. 30362) ("Monex") and (collectively "Respondents") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settle AWCs (Letters of Acceptance, Waiver, and Consent)
MONEX SECURITIES, INC.
04/01/2005
C10050015 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C10050015 TO: Department of Enforcement NASD RE: Shoou Chyn Kan, Respondent (CRD No. 1690052) Pursuant to Rule 9216 of NASD Code of Procedure, I, Shoou Chyn Kan ("Kan" or "Respondent"), submit this Letler 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 AWCs (Letters of Acceptance, Waiver, and Consent)
SHOOU CHYN KAN
04/01/2005
C10050014 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## C10050014 TO: Department of Enforcement NASD RE: Anthony L. Mascia (CRD No, 1297801) Respondent Pursuant to Rule 9216 of NASD Code of Procedure, Anthony L. Mascia ("Mascia" or "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. AWCs (Letters of Acceptance, Waiver, and Consent)
ANTHONY L. MASCIA
04/01/2005
C07040091 NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Disciplinary Proceeding Complainant, No. C07040091 v. Hearing Officer-Andrew H. Perkins MAXIMILIANO M. TOLEDO, II (CRD No. 1689814), AMENDED DEFAULT DECISION March 31, 2005 Respondent. Respondent falsified documents, in violation of NASD Conduct Rule 2110, and failed to respond to staff requests for information, in violation of NASD Procedural Rule 8210 and NASD Conduct Rule OHO Decisions
MAXIMILIANO M. TOLEDO, II
03/31/2005
C9A050016 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C9A050016 TO: Department of Enforcement NASD RE: Chevy Chase Financial Services Member CRD No. 14894 Pursuant to Rule 9216 of the NASD Code of Procedure, Chevy Chase Financial Services ("CCFS") 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, NASD will not bring any future actions AWCs (Letters of Acceptance, Waiver, and Consent)
CHEVY CHASE FINANCIAL SERVICES
03/31/2005
C9A050015 NASD LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. C9A050015 TO: Department of Enforcement NASD RE: Harry A. Alessi IV, Respondent Registered Representative CRD No. 1615360 Pursuant to Rule 9216 of the NASD 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging AWCs (Letters of Acceptance, Waiver, and Consent)
HARRY A. ALESSI IV
03/31/2005
C07050021 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C07050021 To: Department of Enforcement NASD RE: Tomas Ortiz-Stronza, Respondent General Securities Representative [CRD No. 2933100] Pursuant to Rule 9216 of NASD 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 in Part II below. This AWC is submitted on the condition that AWCs (Letters of Acceptance, Waiver, and Consent)
TOMAS ORTIZ-STRONZA
03/30/2005
C10050011 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C10050011 TO: Department of Enforcement NASD RE: Akeem F. Bello, Respondent Investment Company Products/Variable Contracts Representative ("JR") (CRD No. 2461569) Pursuant to Rule 9216 of NASD 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 in Part II below. This AWC is submitted AWCs (Letters of Acceptance, Waiver, and Consent)
AKEEM F. BELLO
03/30/2005
CLI050005 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CLI050005 TO: Department of Enforcement NASD RE: James Louis Hesdra, Respondent [General Securities Representative] [CRD No. 2515939] Pursuant to Rule 9216 of NASD Code of Procedure, Respondent James Louis Hesdra ("Hesdra" or "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)
JAMES LOUIS HESDRA
03/29/2005
CE2050006 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. CE2050006 TO: Department of Enforcement NASD RE: Legacy Financial Services, Inc., Respondent (CRD No. 38697) Pursuant to Rule 9216 of NASD Code of Procedure, Respondent Legacy Financial Services, Inc. ("Respondent" or "Legacy") 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, NASD will not AWCs (Letters of Acceptance, Waiver, and Consent)
LEGACY FINANCIAL SERVICES, INC.
03/29/2005
C11050006 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C11050006 TO: Department of Enforcement NASD RE: Daniel J. Cassin, Respondent CRD No. 1946651 Pursuant to Rule 9216 of NASD 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future AWCs (Letters of Acceptance, Waiver, and Consent)
DANIEL J. CASSIN
03/29/2005
C10050010 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NOC10050010 TO: Department of Enforcement NASD RE: Asad Farraj (CRD No. 2570810) Respondent Pursuant to Rule 9216 of NASD Code of Procedure, Asad Farraj ("Farraj" or "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, NASD will not bring any future actions against AWCs (Letters of Acceptance, Waiver, and Consent)
ASAD FARRAJ
03/29/2005
C9B050018 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C9B-NEW JERSEY C9B050018 TO: Department of Enforcement NASD RE: Christopher S. Bell, Respondent CRD No. 1211481 Pursuant to Rule 9216 of NASD Code of Procedure, Christopher S. Bell ("Bell") 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, NASD will not bring any future actions against AWCs (Letters of Acceptance, Waiver, and Consent)
CHRISTOPHER S. BELL
03/28/2005