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FINRA Disciplinary Actions Online

Displaying 15856 - 15870 of 15878
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
C3B040036 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## C3B040036 TO: Department of Enforcement NASD RE: Paul Marven Farver, Respondent Investment Company / Variable Contracts Representative CRD No. 2688229 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, AWCs (Letters of Acceptance, Waiver, and Consent)
PAUL MARVEN FARVER
01/04/2005
C06040042 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C06040042 TO: Department of Enforcement NASD RE: Investors Brokerage of Texas, Ltd. Member Firm CRD No. 13037 Pursuant to Rule 9216 of the NASD Code of Procedure, Investors Brokerage of Texas, Ltd. ("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 AWCs (Letters of Acceptance, Waiver, and Consent)
INVESTORS BROKERAGE OF TEXAS, LTD.
01/04/2005
C3B040034 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Department of Enforcement NASD RE: Denny D. Ghim, Respondent General Securities Representative CRD No. 2982800 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)
DENNY D. GHIM
01/04/2005
C06040039 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C06040039 TO: Department of Enforcement NASD RE: Jeffrey H. Collins Investment Company & Variable Contracts Products Representative CRD No. 4372947 Pursuant to Rule 9216 of NASD Code of Procedure, Jeffery H. Collins ("Collins" 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 AWCs (Letters of Acceptance, Waiver, and Consent)
JEFFREY H. COLLINS
01/04/2005
C06040040 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C06040040 TO: Department of Enforcement NASD RE: Timothy Jerel McBroom, Respondent Investment Company and Variable Contracts Products Representative CRD No. 3012620 Pursuant to Rule 9216 of NASD Code of Procedure, Timothy Jerel McBroom ("McBroom" 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)
TIMOTHY JEREL MCBROOM
01/04/2005
C8A040028 NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. MAX J. SILBERMAN Registered Representative, (CRD No. 423803) Respondent. Disciplinary Proceeding No. C8A040028 Hearing Officer Dana R. Pisanelli ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 4, 2005 INTRODUCTION Disciplinary Proceeding No. C8A040028 was filed on May 4, 2004, by the Department of Enforcement of NASD ("Complainant"). Respondent Orders Accepting Offers of Settlement
MAX J. SILBERMAN
01/04/2005
CAF030061 NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. BARRY A. KAUFMAN (CRD No. 2774898) Respondent. Disciplinary Proceeding No. CAF030061 Hearing Officer - DMF DEFAULT DECISION January 4, 2005 Respondent effected unauthorized trades in customer accounts, in violation of NASD Rule 2110, and failed to execute customer orders, in violation of Rule 2110. For the unauthorized trades, he is barred from associating with any NASD member in any capacity and ordered to pay restitution to two OHO Decisions
BARRY A. KAUFMAN
01/04/2005
CAF030067 NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ASENSIO BROKERAGE SERVICES, INC., n/k/a Integral Securities, Inc. (CRD No. 31742), and MANUEL PETER ASENSIO (CRD NO. 1148811), Respondents. Disciplinary Proceeding No. CAF030067 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION January 4, 2005 The individual respondent is barred for failing to respond to requests for information in violation of NASD Procedural Rule 8210 and NASD Conduct Rule 2110. In addition, the Respondents OHO Decisions
INTEGRAL SECURITIES, INC., ASENSIO BROKERAGE SERVICES, INC.
MANUEL PETER ASENSIO
01/04/2005
C07040090 NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Cardinal Capital Management, Inc., CRD No. 24605, and Christopher Sweeney, CRD No. 823375, Respondents. Disciplinary Proceeding No. C07040090 Hearing Officer -SW ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 3,2005. INTRODUCTION Disciplinary Proceeding No. C07040090 was filed on November 4, 2004, by the Department of Enforcement of NASD OHO Decisions
CARDINAL CAPITAL MANAGEMENT, INC.
CHRISTOPHER SWEENEY
01/03/2005
C9B040112 NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILLIAM E. JASKO (CRD No. 2103111) Respondent. Disciplinary Proceeding No. C9B040112 Hearing Officer - COMPLAINT Upon information and belief, Complainant alleges the following: 1. Respondent William E. Jasko ("Jasko") became registered with NASD as a Series 7 general securities representative on or about December 3, 1990. 2. From on or about October 1, 1990, through on or about March 31, 2000, Jasko was employed by Merrill Complaints
WILLIAM E. JASKO
01/03/2005
C02050001 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C02050001 TO: Department of Enforcement NASD RE: Max Dong Ho Lee, Associated Person CRD No. 4578087 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 violations based on the same AWCs (Letters of Acceptance, Waiver, and Consent)
MAX DONG HO LEE
01/03/2005
C9A040062 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C9A040062 TO: Department of Enforcement NASD RE: David A. De Blasio, Respondent CRD No. 2304878 Pursuant to Rule 9216 of NASD's Code of Procedure, David A. DeBlasio 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 me alleging violations based AWCs (Letters of Acceptance, Waiver, and Consent)
DAVID A. DE BLASIO
01/03/2005
C9A040064 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C9A040064 TO: Department of Enforcement NASD RE: Scott I. Martin, Respondent CRD No. 2562741 Pursuant to Rule 9216 of NASD's Code of Procedure, Scott I. Martin 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 me alleging violations based on AWCs (Letters of Acceptance, Waiver, and Consent)
SCOTT I. MARTIN
01/03/2005
C01040034 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C01040034 TO: Department of Enforcement NASD RE: Edwin John Torres, Respondent General Securities Principal [CRD No. 2736704] 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)
EDWIN JOHN TORRES
01/03/2005
C05040090 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C05040090 TO: Department of Enforcement NASD RE: John S. Cotton, Respondent General Securities Principal and General Securities Representative [CRD No. 1835778] Pursuant to Rule 9216 of the NASD Code of Procedure, 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 AWCs (Letters of Acceptance, Waiver, and Consent)
JOHN S. COTTON
01/03/2005