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FINRA Disciplinary Actions Online

Displaying 61 - 75 of 15878
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2015047244701 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GURPREET CHANDHOKE (CRD No. 4999369 and STEPHEN SHEA (CRD No.3274649), Respondents. Disciplinary Proceeding No. 2015047244701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Over the course of more than three years, between March 2014 and August 2017, Respondents Gurpreet Chandhoke and Stephen Shea consistently failed to meet their obligations to disclose private Complaints
GURPREET CHANDHOKE, STEPHEN SHEA
08/12/2019
2016048071901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048071901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Thomas Raymond Williams, Respondent General Securities Representative General Securities Principal CRD No. 3176294 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Thomas Raymond Williams ("Respondent" or "Williams"), submits this Letter of Acceptance, Waiver and Consent AWCs (Letters of Acceptance, Waiver, and Consent)
Thomas Raymond Williams
08/09/2019
2017052699301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052699301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Richard J. Coleman, Respondent Former General Securities Representative CRD No. 2720422 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Richard J. Coleman, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged AWCs (Letters of Acceptance, Waiver, and Consent)
Richard J. Coleman
08/08/2019
2018056845801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056845801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jollene J. Austin, Respondent General Securities Representative CRD No. 2997663 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)
Jollene J. Austin
08/08/2019
2018060634302 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060634302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lisa Acca, Respondent Former General Securities Representative Former General Securities Principal CRD No. 4661358 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Lisa Acca, ("Acca") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the AWCs (Letters of Acceptance, Waiver, and Consent)
Lisa Acca
08/08/2019
2018058666001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058666001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Steve Baptist, Respondent Registered Representative CRD No. 5885870 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Steve Baptist ("Baptist"), submit 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)
Steve Baptist
08/08/2019
2017052871401 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILLIAM JAMES POTTER (CRD No. 1281826), Respondent. DISCIPLINARY PROCEEDING NO. 2017052871401 HEARING OFFICER–MC EXTENDED HEARING PANEL DECISION August 7, 2019 Respondent is barred from associating with any member firm in any capacity for conversion and unethical business conduct, including misuse of funds. He is ordered to pay $250,000 in restitution, and hearing costs. OHO Decisions
WILLIAM JAMES POTTER
08/07/2019
2016051615301 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PARTHO S. GHOSH (CRD No. 1983427), Respondent. Disciplinary Proceeding No. 2016051615301 Hearing Officer-DRS EXTENDED HEARING PANEL DECISION Date: August 7, 2019 For engaging in outside business activities without providing prior written notice to his member firm employer, Respondent Partho S. Ghosh is fined $25,000, suspended for six months from associating with and OHO Decisions
Partho S. Ghosh
08/07/2019
2016050134502 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050134502 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Eldridge F. Parks ("Parks" or "Respondent") Former Registered Representative CRD No. 1041447 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 AWCs (Letters of Acceptance, Waiver, and Consent)
Eldridge F. Parks ("Parks" or "Respondent")
08/05/2019
2018058564001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058564001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ken Kavanagh, Respondent General Securities Representative, CRD No. 4502223 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Ken Kavanagh ("Kavanagh" or Respondent), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement AWCs (Letters of Acceptance, Waiver, and Consent)
Ken Kavanagh
08/05/2019
2019061232601 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Alpine Securities Corporation (CRD No. 14952), Respondent. Temporary Cease and Desist Proceeding No. TCDO190001 Hearing Officer-LOM TEMPORARY CEASE AND DESIST CONSENT ORDER Based upon the parties' consent, the Hearing Panel issues this Temporary Cease and Desist Consent Order ("Order") pursuant to FINRA Rule 9840. It is understood and agreed by all the undersigned that the parties' Temporary Cease and Desist Orders
Alpine Securities Corporation
08/05/2019
2018059411401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2018059411401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Mengxuan Zhang Former General Securities Representative CRD No. 6548853 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Mengxuan Zhang, the Respondent, submit 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)
Mengxuan Zhang
08/05/2019
2018057657501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2018057657501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Karen Paek, Respondent Former Registered Representative CRD No. 5985441 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Karen Paek 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)
Karen Paek
08/05/2019
2019062404601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062404601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David J. Volpe, Respondent CRD No. 2543478 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David J. Volpe 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)
David J. Volpe
08/02/2019
2018056290001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056290001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dawson James Securities, Inc., Respondent Member Firm CRD No. 130645 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Dawson James Securities, Inc. ("Dawson James" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of AWCs (Letters of Acceptance, Waiver, and Consent)
Dawson James Securities, Inc.
08/01/2019