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FINRA Disciplinary Actions Online

Displaying 46 - 60 of 15878
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2017055611501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055611501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Scott R. Riley, Respondent CRD No. 5178446 Pursuant to FINRA Rule 9216 of FINRA's 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 below. AWCs (Letters of Acceptance, Waiver, and Consent)
Scott R. Riley
08/19/2019
2017054549301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054549301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Justin B. Mitchell, Respondent Investment Company Products/Variable Contracts Representative CRD No. 5177794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Justin B. Mitchell ("Mitchell" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") AWCs (Letters of Acceptance, Waiver, and Consent)
5177794
08/19/2019
2019061408701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061408701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael Eric Johnson, Respondent Former General Securities Principal and General Securities Representative CRD No. 2261413 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael Eric Johnson submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
Michael Eric Johnson
08/16/2019
2018056269002 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056269002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael Patrick Nixon, Respondent Registration Status: General Securities Representative CRD No. 2169631 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Michael Partrick Nixon, submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
Michael Patrick Nixon
08/16/2019
2017055074302 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055074302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Rookasin, Respondent CRD No. 5760016 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David Rookasin ("Rookasin" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
David Rookasin
08/16/2019
2017052699901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052699901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gregory T. Dean, Respondent Former General Securities Representative CRD No. 4922996 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Gregory T. Dean, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
Gregory T. Dean
08/16/2019
2013037572601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037572601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lime Brokerage LLC, Respondent Broker-Dealer CRD No. 104369 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Lime Brokerage LLC ("Lime" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
Lime Brokerage LLC
08/15/2019
2018060477501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060477501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Summit Brokerage Services, Inc., Respondent CRD No. 34643 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Summit Brokerage Services, Inc. submits this Letter of Acceptance, Waiver and Consent ("AWC") AWCs (Letters of Acceptance, Waiver, and Consent)
Summit Brokerage Services, Inc.
08/15/2019
2018058354501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058354501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Roger L. Owens, Respondent Former Registered Representative CRD No. 2359204 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Roger L. Owens submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations AWCs (Letters of Acceptance, Waiver, and Consent)
Roger L. Owens
08/14/2019
2017054755206 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL G. MAUGHAN CRD No. 2561363, Respondent. Disciplinary Proceeding No. 2017054755206 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Daniel G. Maughan, while associated with Financial West Group ("Financial West" or the "Firm"), a FINRA-regulated broker-dealer, churned and excessively Complaints
Daniel G. Maughan
08/14/2019
2018059546401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059546401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brenda M. Kochel, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 5212755 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Brenda M. Kochel ("Respondent" or "Kochel") submits this Letter of Acceptance, Waiver and AWCs (Letters of Acceptance, Waiver, and Consent)
Brenda M. Kochel
08/14/2019
2018059177601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059177601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Leonard J. Kuczynski, Respondent Investment Company and Variable Contracts Products Representative CRD No. 863341 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Leonard J. Kuczynski ("Kuczynski" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") AWCs (Letters of Acceptance, Waiver, and Consent)
Leonard J. Kuczynski
08/13/2019
2017055504801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055504801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stephen Allen Kelbick, Respondent General Securities Representative CRD No. 1429133 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Stephen Allen Kelbick ("Kelbick" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
Stephen Allen Kelbick
08/13/2019
2015043490102 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043490102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Seven Points Capital, LLC, Respondent FINRA Member Firm BD No. 144211 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondent, Seven Points Capital, LLC ("Seven Points" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of AWCs (Letters of Acceptance, Waiver, and Consent)
Seven Points Capital, LLC
08/12/2019
2018059547901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059547901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bryan Joseph Clark, Respondent General Securities Representative CRD No. 2987321 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Bryan Joseph Clark submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement AWCs (Letters of Acceptance, Waiver, and Consent)
Bryan Joseph Clark
08/12/2019