FINRA Disciplinary Actions Online

Displaying 16996 - 17001 of 17001

Case ID	Case Summary	Document Type	Firms/ Individuals	Action Date Sort ascending
C10040129	NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.## C10040129 TO: Department of Enforcement NASD RE: Brian Taggart (CRD No. 2394575) Pursuant to Rule 9216 of NASD Code of Procedure. Brian Taggart ("Taggart" 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 Respondent	AWCs (Letters of Acceptance, Waiver, and Consent)	BRIAN TAGGART	01/03/2005
C9A030041	NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES M. COYNE, SR. (CRD No. 601719) Respondent. Disciplinary Proceeding No. C9A030041 Hearing Officer - DRP AMENDED PANEL DECISION January 3, 2005 Respondent violated NASD Conduct Rules 2310 and 2110 and IM-2310-2 by recommending unsuitable trading in an account. For these violations, Respondent is suspended for four months from association with any member firm in any capacity and fined $10,000. Charges that Respondent churned the	OHO Decisions	JAMES M. COYNE, SR.	01/03/2005
CMS040224	NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, V. SONJA RUDD (CRD 2683330) Respondent. DISCIPLINARY PROCEEDING No. CMS040224 HEARING OFFICER: COMPLAINT Upon information and belief, the Department of Market Regulation alleges as follows: Summary of the Case 1. While registered at member firm Edward D. Jones & Co., L.P. ("Edward Jones"), Respondent Sonja Rudd circulated false and misleading investment opinions and research reports, which included fraudulent and Related Documents	Complaints	SONJA RUDD	01/03/2005