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FINRA Disciplinary Actions Online

Displaying 61 - 75 of 16107
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2017055608101 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KAPIL MAHESHWARI (CRD No. 6358540), Respondent. Disciplinary Proceeding No. 2017055608101 Hearing Officer-DW HEARING PANEL DECISION December 19, 2019 Respondent Kapil Maheshwari misused confidential information obtained from his former employer about a future corporate acquisition for trading purposes, in violation of FINRA Rule 2010. For his misconduct, Maheshwari is barred from association with any FINRA member in any capacity and OHO Decisions
KAPIL MAHESHWARI
12/19/2019
2014042525201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042525201 t TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SG Americas Securities, LLC, Respondent Member Firm CRD No. 128351 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent SG Americas Securities, LLC (“SGAS,” 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 described below. AWCs (Letters of Acceptance, Waiver, and Consent)
SG Americas Securities, LLC
12/19/2019
2018057786401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057786401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jonathan Gerald Schnell, Respondent General Securities Representative, CRD No. 2821933 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jonathan Gerald Schnell ("Schnell" 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)
Jonathan Gerald Schnell
12/18/2019
2014042621701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042621701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cecil Allen Ross, Respondent Registered Representative CRD No. 2391047 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cecil Allen Ross 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)
Cecil Allen Ross
12/18/2019
2018057266702 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057266702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Francisco Javier Valenzuela, Respondent Former General Securities Representative CRD No. 2786970 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Francisco Javier Valenzuela 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)
Francisco Javier Valenzuela
12/17/2019
2011029713004 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Lek Securities Corporation (CRD No. 33135), and Samuel Frederik Lek (CRD No. 1642936), Respondents. Disciplinary Proceeding No. 20110297130-04 Hearing Officer - MC ORDER ACCEPTING OFFER OF SETTLEMENT December 17, 2019 INTRODUCTION Disciplinary Proceeding No. 20110297130-04 was filed on March 27, 2017, by the Financial Industry Regulatory Authority’s (“FINRA” or the “Complainant”) Department of Enforcement.1 Respondents Lek Securities Corporation (“LSCI” or the “Firm”) and Samuel Orders Accepting Offers of Settlement
Lek Securities Corporation
Samuel Frederik Lek
12/17/2019
2014040293001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040293001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cowen and Company, LLC, Respondent Broker-Dealer CRD No. 7616 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cowen and Company, LLC (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 described below. AWCs (Letters of Acceptance, Waiver, and Consent)
Cowen and Company, LLC
12/17/2019
2016051493704 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JORGE A. REYES (CRD No. 4256834), Respondent. Disciplinary Proceeding No. 2016051493704 Hearing Officer-DW EXTENDED HEARING PANEL DECISION December 17, 2019 Respondent Jorge Reyes willfully defrauded investors in connection with nearly $4 million in investments in three private placement offerings and OHO Decisions
Jorge A. Reyes
12/17/2019
2018059134401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059134401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kawa Saeed Foad, Respondent Corporate Securities Representative General Securities Representative CRD No. 5374361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Kawa Saeed Foad ("Foad" or "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)
Kawa Saeed Foad
12/17/2019
2018057296401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057296401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ezri Shechter, Respondent Registered Representative CRD No. 2772177 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ezri Shechter ("Shechter") 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)
Ezri Shechter
12/17/2019
2015045456401 BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDIUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. David O. Braeger Milwaukee, WI, Respondent. DECISION Complaint No. 2015045456401 Dated: December 16, 2019 Registered representative misused and converted customer funds and made material misrepresentations and omissions to customers. Held, findings and sanctions affirmed. Appearances For the Complainant: Leo F. Orenstein, Esq., Suzanne H. Bertolett, Esq., Department of Enforcement, NAC Decisions
David O. Braeger
12/16/2019
2018060843801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060843801 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Thomas Walter Molteni, Respondent Investment Company Products/Variable Contracts Representative CRD No. 1022911 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent, Thomas Walter Molteni (“Molteni” or “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)
Thomas Walter Molteni
12/16/2019
2019061185701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061185701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert P. Allen, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6267678 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert P. Allen 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 P. Allen
12/13/2019
2014043557401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043557401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jefferies Execution Services, Inc., n/k/a Jefferies LLC, Respondent Member Firm CRD Nos. 867 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jefferies Execution Services, Inc. ("JefEx" or the "Firm"), n/k/a Jefferies 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)
Jefferies Execution Services, Inc., n/k/a Jefferies LLC
12/12/2019
2015046631101 BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Robert R. Tweed San Marino, CA, Respondent. Decision Complaint No. 2015046631101 Dated: December 11, 2019 Registered person negligently misrepresented and omitted material facts in connection with the offer and sale of interest in a private investment fund. NAC Decisions
Robert R. Tweed
12/11/2019