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FINRA Disciplinary Actions Online

Displaying 46 - 60 of 16107
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2018059381801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059381801 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 of FINRA's Code of Procedure, Respondent Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch" or the "Firm") 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
12/26/2019
2018060812901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060812901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph Monroe Lawrence III, Respondent Former General Securities Representative CRD No. 5605961 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Joseph Monroe Lawrence 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)
Joseph Monroe Lawrence III
12/23/2019
2012034734501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034734501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Credit Suisse Securities (USA) LLC (“Credit Suisse” or the “firm”) 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)
Credit Suisse Securities (USA) LLC
12/23/2019
2018060415301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060415301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Howard Brian Landers, Respondent Former General Securities Principal CRD No. 1233612 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Howard Brian Landers 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)
Howard Brian Landers
12/23/2019
2017052867301 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Mercer Hicks III (CRD No. 245170), Respondent. Disciplinary Proceeding No. 2017052867301 COMPLAINT The Department of Enforcement (“Enforcement”) alleges: SUMMARY 1. Between June 1, 2014 and July 31, 2017, Hicks made unsuitable recommendations to five senior customers (three of whom were widows) to purchase speculative non-traded real estate investment trusts (“REITs”) and non-traded business development companies (“BDCs”). In addition, Hicks failed to conduct reasonable due diligence on the Complaints
Mercer Hicks III
12/20/2019
2016050508501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050508501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Oppenheimer & Co. Inc., Respondent Member Firm CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Oppenheimer & Co. Inc. (the “firm”) 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)
Oppenheimer & Co. Inc.
12/20/2019
2019063532901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063532901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) Ramon Esparza, Respondent Investment Company and Variable Contracts Products Representative CRD No. 5832979 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Ramon Esparza 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 on the AWCs (Letters of Acceptance, Waiver, and Consent)
Ramon Esparza
12/20/2019
2018059915901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059915901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Monica Jade Meyer, Respondent Former General Securities Representative CRD No. 6048364 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Monica Jade Meyer 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 on the AWCs (Letters of Acceptance, Waiver, and Consent)
Monica Jade Meyer
12/20/2019
2018058061801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058061801 TO; Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Carneglia, Respondent Registered Representative CRD No. 4404911 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent John Carneglia submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing settlement of the alleged rule violations described below. This AWC is submitted on the AWCs (Letters of Acceptance, Waiver, and Consent)
John Carneglia
12/20/2019
2017056224001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056224001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robinhood Financial, LLC, Respondent CRD No. 165998 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Robinhood Financial, LLC ("Robinhood," the "Firm" or "Respondent") 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)
Robinhood Financial, LLC
12/19/2019
2017055723502 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055723502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: First Financial Equity Corporation, Respondent Member Firm CRD No. 16507 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, First Financial Equity Corporation ("FFEC" or "the Firm") 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)
First Financial Equity Corporation
12/19/2019
2012032731802 BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Wilson-Davis & Co., Inc., James C. Snow, and Byron B. Barkley Salt Lake City, UT, Respondents. DECISION Complaint No. 2012032731802 Dated: December 19, 2019 Member firm engaged in short selling in violation of federal securities laws. NAC Decisions
Wilson-Davis & Co., Inc.
James C. Snow, Byron B. Barkley
12/19/2019
2019061193201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061193201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Glen Webster (Respondent) CRD No. 4839854 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)
Glen Webster
12/19/2019
2017053432301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053432301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Goldman Sachs & Co. LLC, Respondent Member Firm CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Goldman Sachs & Co. LLC (“Goldman Sachs” or the “Firm”) 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)
Goldman Sachs & Co. LLC
12/19/2019
2019062879601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062879601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas M. Grbelja, Respondent Former Registered Representative CRD No. 1966191 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Thomas M. Grbelja 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)
Thomas M. Grbelja
12/19/2019