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FINRA Disciplinary Actions Online
Displaying 46 - 60 of 17001
| Case ID | Case Summary | Document Type | Firms/ Individuals | Action Date Sort ascending |
|---|---|---|---|---|
| 2019062974201 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062974201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Brandon Prettyman (Respondent) Investment Company and Variable Products Representative CRD No. 5613767 Pursuant to FINRA Rule 9216, Respondent Robert Brandon Prettyman 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) | Robert Brandon Prettyman |
06/22/2021 |
| 2021071002501 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071002501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Carlos A. Hurtado (Respondent) General Securities Representative CRD No. 5111878 Pursuant to FINRA Rule 9216, Respondent Carlos A. Hurtado 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) | Carlos A. Hurtado |
06/22/2021 |
| 2017055447501 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017055447501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Eric P. Burton (Respondent) General Securities Representative CRD No. 3113849 Pursuant to FINRA Rule 9216, Respondent Eric P. Burton 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) | Eric P. Burton |
06/22/2021 |
| 2017052173001 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017052173001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Farmers Financial Solutions, LLC (Respondent) Member Firm CRD No. 103863 Pursuant to FINRA Rule 9216, Respondent Farmers Financial Solutions, 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) | Farmers Financial Solutions, LLC |
06/21/2021 |
| 2016048613101 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016048613101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Clearpool Execution Services, LLC (Respondent) Member Firm CRD No. 168490 Pursuant to FINRA Rule 9216, Respondent Clearpool Execution Services, 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) | Clearpool Execution Services, LLC |
06/18/2021 |
| 2019064696501 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064696501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John C. Braddock (Respondent) Former General Securities Representative CRD No. 1282733 Pursuant to FINRA Rule 9216, Respondent John C. Braddock 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) | John C. Braddock |
06/17/2021 |
| 2021071514101 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071514101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Marc R. Lippman (Respondent) General Securities Representative CRD No. 1575995 Pursuant to FINRA Rule 9216, Respondent Marc R. Lippman 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 condition that, | AWCs (Letters of Acceptance, Waiver, and Consent) | Marc R. Lippman |
06/17/2021 |
| 2019061941101 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Michael J. Giovannelli CRD No. 4989449, Respondent. Disciplinary Proceeding No. 2019061941101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between February and April 2020, while registered through Spartan Capital Securities, LLC (“Spartan”) (CRD No. 146251), Respondent Michael J. Giovannelli made 12 | Complaints | Michael J. Giovannelli |
06/17/2021 |
| 2019062569501 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062569501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Marshall McCallum (Respondent) Former General Securities Representative CRD No. 2222586 Pursuant to FINRA Rule 9216, Respondent Kevin Marshall McCallum 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) | Kevin Marshall McCallum |
06/17/2021 |
| 2018058798802 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Blair Olsen CRD No. 1545765, Respondent. Disciplinary Proceeding No. 2018058798802 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Blair Olsen willfully failed to amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose, or to timely disclose, criminal felony charges. As a result, Olsen violated Article V, Section 2(c) of FINRA’s By-Laws and FINRA Rules 1122 and 2010. | Complaints | Blair Olsen |
06/16/2021 |
| 2020065347501 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065347501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dennis Domingo Cummings Perez (Respondent) General Securities Representative CRD No. 2923607 Pursuant to FINRA Rule 9216, Respondent Dennis Domingo Cummings Perez (Cummings) 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) | Dennis Domingo Cummings Perez |
06/16/2021 |
| 2019064316401 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064316401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc. (Respondent) Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216, Respondent Citigroup Global Markets Inc. (CGMI) 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) | Citigroup Global Markets Inc. |
06/15/2021 |
| 2016050863601 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016050863601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cantor Fitzgerald & Co., Respondent Member Firm CRD No. 134 Pursuant to FINRA Rule 9216, Respondent Cantor Fitzgerald & Co. (Respondent 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) | Cantor Fitzgerald & Co. |
06/15/2021 |
| 2020065997801 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065997801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Brent Bertino (Respondent) Former Investment Banking Representative CRD No. 6189176 Pursuant to FINRA Rule 9216, Respondent Michael Brent Bertino 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 Brent Bertino |
06/15/2021 |
| 2019063526901 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Marc Augustus Reda (CRD No. 2757330), Respondent. Disciplinary Proceeding No. 2019063526901COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2017 to December 2019 (the "Relevant Period"), while associated with Spartan | Complaints | Marc Augustus Reda |
06/15/2021 |