For updates and guidance related to COVID-19 / Coronavirus, click here.
FINRA Disciplinary Actions Online
Displaying 61 - 75 of 17001
| Case ID | Case Summary | Document Type | Firms/ Individuals | Action Date Sort ascending |
|---|---|---|---|---|
| 2018057742101 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057742101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Samuel A Ramirez & Co., Inc. (Respondent) Member Firm CRD No. 6963 Pursuant to FINRA Rule 9216, Respondent Samuel A Ramirez & Co., Inc. 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) | Samuel A Ramirez & Co., Inc. |
06/14/2021 |
| 2020069019701 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020069019701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert A. Lax (Respondent) General Securities Representative, Investment Company Products and Variable Contracts Principal, Investment Company and Variable Contracts Products Representative CRD No. 1985758 Pursuant to FINRA Rule 9216, Respondent Robert A. Lax submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of | AWCs (Letters of Acceptance, Waiver, and Consent) | Robert A. Lax |
06/14/2021 |
| 2019060753501 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060753501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Salvatore Pizzimenti (Respondent) Former General Securities Representative CRD No. 2879580 Pursuant to FINRA Rule 9216, Respondent Salvatore Pizzimenti 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) | Salvatore Pizzimenti |
06/11/2021 |
| 2020065607801 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065607801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Joseph Riccio (Respondent) General Securities Representative CRD No. 2529322 Pursuant to FINRA Rule 9216, Respondent Michael Joseph Riccio 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 Joseph Riccio |
06/11/2021 |
| 2019064900501 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064900501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Peter Bruce Suyama (Respondent) General Securities Representative CRD No. 1404564 Pursuant to FINRA Rule 9216, Respondent Peter Bruce Suyama 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) | Peter Bruce Suyama |
06/10/2021 |
| 2014041944901 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014041944901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: G1 Execution Services, LLC (Respondent) Member Firm CRD No. 111528 Pursuant to FINRA Rule 9216, Respondent G1 Execution Services, LLC (“G1” 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) | G1 Execution Services, LLC |
06/09/2021 |
| 2018057421801 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057421801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott S. Niekamp (Respondent) General Securities Representative CRD No. 3277810 Pursuant to FINRA Rule 9216, Respondent Scott S. Niekamp 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) | Scott S. Niekamp |
06/09/2021 |
| 2019063955801 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063955801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Clark Cleary General Securities Representative CRD No. 2221383 Pursuant to FINRA Rule 9216, Respondent Thomas Clark Cleary 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 Clark Cleary |
06/08/2021 |
| 2019061705101 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061705101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Titan Securities (Respondent) Member Firm CRD No. 131392 Pursuant to FINRA Rule 9216, Respondent Titan Securities 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) | Titan Securities |
06/08/2021 |
| 2020065292102 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Elizabeth Ann Sollars (CRD No. 6606776), Respondent. DISCIPLINARY PROCEEDING No. 2020065292102 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In connection with FINRA's investigation into allegations that she misappropriated insurance customer premium payments, Respondent Elizabeth Ann Sollars | Complaints | Elizabeth Ann Sollars |
06/07/2021 |
| 2019060749103 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060749103 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew G. Zanowiak (Respondent) Investment Company and Variable Contracts Products Representative, Investment Company Products/Variable Contracts Principal, and Direct Participation Programs Representative CRD No. 1142281 Pursuant to FINRA Rule 9216, Respondent Matthew G. Zanowiak 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) | Matthew G. Zanowiak |
06/07/2021 |
| 2018057162401 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057162401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alpine Securities Corporation (Respondent) Member Firm CRD No. 14952 Pursuant to FINRA Rule 9216, Respondent Alpine Securities Corporation 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 | AWCs (Letters of Acceptance, Waiver, and Consent) | Alpine Securities Corporation |
06/07/2021 |
| 2021071160701 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071160701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mario E. Rivero, Jr. (Respondent) General Securities Representative CRD No. 5856503 Pursuant to FINRA Rule 9216, Respondent Mario E. Rivero, Jr. 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) | Mario E. Rivero, Jr. |
06/04/2021 |
| 2020067641401 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067641401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Grant C. Birkley (Respondent) Former General Securities Representative CRD No. 2933533 Pursuant to FINRA Rule 9216, Respondent Grant C. Birkley 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) | Grant C. Birkley |
06/04/2021 |
| 2020067641402 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067641402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cynthia Komarek (Respondent) Former General Securities Representative CRD No. 1188714 Pursuant to FINRA Rule 9216, Respondent Cynthia Komarek 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) | Cynthia Komarek |
06/04/2021 |