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FINRA Disciplinary Actions Online
Displaying 31 - 45 of 17001
| Case ID | Case Summary | Document Type | Firms/ Individuals | Action Date Sort ascending |
|---|---|---|---|---|
| 2019060648701 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. StockKings Capital LLC (BD No. 164445) and Gregory Antonius Lewis (CRD No. 2793976), Respondents. DISCIPLINARY PROCEEDING NO. 2019060648701 COMPLAINT The Department of Enforcement alleges: I. SUMMARY 1. Since 2013, Gregory Antonius Lewis has been the founder, majority owner, and Chief Executive Officer (CEO) of FINRA member StockKings Capital LLC (“StockKings Capital” or the “Firm”). From the time he formed | Complaints | StockKings Capital LLC Gregory Antonius Lewis |
06/28/2021 |
| 2019062348301 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062348301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew Alexander Perry (Respondent) Former General Securities Representative CRD No. 5985300 Pursuant to FINRA Rule 9216, Respondent Matthew Alexander Perry 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) | Matthew Alexander Perry |
06/28/2021 |
| 2020066875501 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066875501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cetera Advisor Networks LLC (Respondent) Member Firm CRD No. 13572 Pursuant to FINRA Rule 9216, Respondent Cetera Advisor Networks LLC 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) | Cetera Advisor Networks LLC |
06/25/2021 |
| 2021070319901 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2021070319901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel Jossen (Respondent) Former General Securities Representative CRD No. 5463761 Pursuant to FINRA Rule 9216, Respondent Daniel Jossen 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) | Daniel Jossen |
06/25/2021 |
| 2019064024001 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064024001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: George Louis McCaffrey III (Respondent) Former General Securities Representative CRD No. 847377 Pursuant to FINRA Rule 9216, Respondent George Louis McCaffrey, 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) | George Louis McCaffrey III |
06/25/2021 |
| 2020068393101 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068393101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Scott Farris (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6478510 Pursuant to FINRA Rule 9216, Respondent Michael Scott Farris 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) | Michael Scott Farris |
06/25/2021 |
| 2018060359901 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060359901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott R. Mathews (Respondent) Former General Securities Representative CRD No. 1314735 Pursuant to FINRA Rule 9216, Respondent Scott R. Mathews 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) | Scott R. Mathews |
06/25/2021 |
| 2018057352601 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057352601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nathan Gersteen Katz (Respondent) Former General Securities Representative CRD No. 846475 Pursuant to FINRA Rule 9216, Respondent Nathan Gersteen Katz 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) | Nathan Gersteen Katz |
06/25/2021 |
| 2017053437701 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017053437701 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, Respondent Merrill Lynch, Pierce, Fenner & Smith Inc. 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 |
06/25/2021 |
| 2019061155401 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061155401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sidoti & Company, LLC (Respondent) Member Firm CRD No. 102860 Pursuant to FINRA Rule 9216, Respondent Sidoti & Company, LLC 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) | Sidoti & Company, LLC |
06/25/2021 |
| 2018060356501 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060356501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kelly Wayne Feehrer (Respondent) General Securities Representative CRD No. 1470328 Pursuant to FINRA Rule 9216, Respondent Kelly Wayne Feehrer 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) | Kelly Wayne Feehrer |
06/25/2021 |
| 2019064249401 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064249401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cesar Gabriel Hernandez (Respondent) Former General Securities Principal CRD No. 3249722 Pursuant to FINRA Rule 9216, Respondent Cesar Gabriel Hernandez 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) | Cesar Gabriel Hernandez |
06/24/2021 |
| 2019063728601 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063728601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Danielle Matson (Respondent) General Securities Representative CRD No. 4140827 Pursuant to FINRA Rule 9216, Respondent Danielle Matson 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) | Danielle Matson |
06/23/2021 |
| 2020065370301 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065370301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arieh Israel (Respondent) Former Investment Company and Variable Contracts Representative CRD No. 6481347 Pursuant to FINRA Rule 9216, Respondent Arieh Israel 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) | Arieh Israel |
06/23/2021 |
| 2020065906301 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065906301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hung Brandon Ly (Respondent) Former General Securities Representative CRD No. 5500875 Pursuant to FINRA Rule 9216, Respondent Hung Brandon Ly 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) | Hung Brandon Ly |
06/22/2021 |