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FINRA Disciplinary Actions Online

Displaying 31 - 45 of 15878
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2016050957901 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Innovation Partners LLC (BD No. 146344), Patrick Emanuel Sutherland (CRD No. 3042322), and Yanique Lawrence (CRD No. 3234186), Respondents. Disciplinary Proceeding No. 2016050957901 Hearing Officer—CC ORDER ACCEPTING OFFER OF SETTLEMENT ON BEHALF OF INNOVATION PARTNERS LLC AND YANIQUE LAWRENCE Date: August 26, 2019 INTRODUCTION Disciplinary Proceeding No. 2016050957901 was filed on November 26, Orders Accepting Offers of Settlement
Innovation Partners LLC
Yanique Lawrence
08/26/2019
2016050957901 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Innovation Partners LLC (BD No. 146344), Patrick Emanuel Sutherland (CRD No. 3042322), and Yanique Lawrence (CRD No. 3234186), Respondents. Disciplinary Proceeding No. 2016050957901 Hearing Officer—CC ORDER ACCEPTING OFFER OF SETTLEMENT ON BEHALF OF PATRICK EMANUEL SUTHERLAND Date: August 26, 2019 INTRODUCTION Disciplinary Proceeding No. 2016050957901 was filed on November 26, 2018 by the Department Orders Accepting Offers of Settlement
Patrick Emanuel Sutherland
08/26/2019
2018057757201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057757201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Micah O. Handell, Respondent General Securities Representative and General Securities Principal CRD No. 5889420 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Micah O. Handell (“Handell” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
Micah O. Handell
08/26/2019
2016051814301 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Jesse Gill (CRD No. 5188650), Respondent. Disciplinary Proceeding No. 2016051814301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In July and August 2016, while associated with a FINRA member firm, Jesse Gil ("Gil") converted approximately $2,500 from an 82-year-old widow and former bank customer Complaints
Jesse Gil
08/26/2019
2019062319501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062319501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bobby Wayne Coburn, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 1464789 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Bobby Wayne Coburn ("Respondent" or "Coburn"), submits this Letter of Acceptance, Waiver and Consent ("AWC") AWCs (Letters of Acceptance, Waiver, and Consent)
Bobby Wayne Coburn
08/26/2019
2006006705601 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 86751 / August 23, 2019 Admin. Proc. File No. 3-13678r In the Matter of the Application of JOHN M.E. SAAD For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDING Court of appeals remanded matter to the Commission after Commission sustained FINRA disciplinary action for Commission to determine in the first instance whether SEC Decisions
John M.E. Saad
08/23/2019
2018056848101 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. THOMAS LEE JOHNSON (CRD NO. 1215434), Respondent. Disciplinary Proceeding No. 2018056848101 Hearing Officer--MJD HEARING PANEL DECISION Date: August 23, 2019 Respondent converted $1,059,544.98 from his employer firm. For this misconduct, Respondent is barred from associating with any member firm in OHO Decisions
Thomas Lee Johnson
08/23/2019
2018058670501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058670501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bryan D. Jensen, Respondent Former General Securities Representative CRD No. 5467555 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Bryan D. Jensen 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)
Bryan D. Jensen
08/23/2019
2018059898701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059898701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Arlyn Roy Stokesbary, Respondent Former General Securities Representative CRD No. 1717430 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Arlyn Roy Stokesbary ("Stokesbary" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of AWCs (Letters of Acceptance, Waiver, and Consent)
Arlyn Roy Stokesbary
08/23/2019
2017053382401 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHARLES EDWIN TAYLOR (CRD No. 443066), JODI OYLER PADGETT (CRD No. 1828918), and JOHN LODGE FARMER (CRD No. 5354041), Respondents. Disciplinary Proceeding No. 2017053382401 Hearing Officer-DW HEARING PANEL DECISION August 22, 2019 Respondents Charles Taylor, Jodi Padgett and John Farmer engaged in undisclosed outside business activities. Respondents were compensated for OHO Decisions
Charles Edwin Taylor, Jodi Oyler Padgett, John Lodge Farmer
08/22/2019
2019061232601 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Alpine Securities Corporation (CRD No. 14952), Respondent. DISCIPLINARY PROCEEDING NO. 2019061232601 FIRST AMENDED COMPLAINT The Department of Enforcement alleges SUMMARY 1. By late August 2018, Alpine Securities Corporation ("Alpine" or the "Firm"), in the face of significant and mounting financial difficulties, implemented a series of exorbitant and arbitrary fees. Complaints
Alpine Securities Corporation
08/21/2019
2019061232601 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Alpine Securities Corporation (CRD No. 14952), Respondent. DISCIPLINARY PROCEEDING NO. 2019061232601 FIRST AMENDED COMPLAINT The Department of Enforcement alleges SUMMARY 1. By late August 2018, Alpine Securities Corporation ("Alpine" or the "Firm"), in the face of significant and mounting financial difficulties, implemented a series of exorbitant and arbitrary fees. Complaints
Alpine Securities Corporation
08/21/2019
2018058889101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058889101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gregory John Braccili, Respondent Investment Company and Variable Contracts Products Representative CRD No. 5992725 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Gregory John Braccili submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a AWCs (Letters of Acceptance, Waiver, and Consent)
Gregory John Braccili
08/19/2019
2019062100401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062100401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Hunter Tillotson, Respondent General Securities Representative CRD No. 1320717 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John Hunter Tillotson submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule AWCs (Letters of Acceptance, Waiver, and Consent)
John Hunter Tillotson
08/19/2019
2017053162101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053162101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Van Clemens & Co. Inc., Respondent CRD No. 6914 Pursuant to FINRA Rule 9216 of FINRA's 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 below. AWCs (Letters of Acceptance, Waiver, and Consent)
Van Clemens & Co. Inc.
08/19/2019