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FINRA Disciplinary Actions Online
Displaying 76 - 90 of 17001
| Case ID | Case Summary | Document Type | Firms/ Individuals | Action Date Sort ascending |
|---|---|---|---|---|
| 2018058924502 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ADAM JAMES MAKKAI (CRD No. 4025159), Respondent. Disciplinary Proceeding No. 2018058924502 Hearing Officer-MJD HEARING PANEL DECISION Date: June 3, 2021 For paying commissions to an unregistered person, in violation of FINRA Rules 2040 and 2010, Respondent is fined $2,000 and suspended for ten | OHO Decisions | Adam James Makkai |
06/03/2021 |
| 2019063490102 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063490102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ricardo Turlan (Respondent) Former General Securities Representative CRD No. 4431836 Pursuant to FINRA Rule 9216, Respondent Ricardo Turlan 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) | Ricardo Turlan |
06/03/2021 |
| 2019064980201 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064980201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Louis P. Kreisberg (Respondent) Former General Securities Representative and Investment Banking Representative CRD No. 1352881 Pursuant to FINRA Rule 9216, Respondent Louis P. Kreisberg 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) | Louis P. Kreisberg |
06/03/2021 |
| 2017055132601 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017055132601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Woong Seong Hwang (Respondent) General Securities Representative CRD No. 4400271 Pursuant to FINRA Rule 9216, Respondent Woong Seong Hwang (Hwang) 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) | Woong Seong Hwang |
06/03/2021 |
| 2020066651001 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066651001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nicholas R. Palumbo (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 1069948 Pursuant to FINRA Rule 9216, Respondent Nicholas R. Palumbo 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) | Nicholas R. Palumbo |
06/02/2021 |
| 2016047624502 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016047624502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Todd Farrell Sherman (Respondent) Former General Securities Representative CRD No. 3259162 Pursuant to FINRA Rule 9216, Respondent Todd Farrell Sherman 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) | Todd Farrell Sherman |
06/02/2021 |
| 2013035345701 | BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Titan Securities Addison, TX, Brad C. Brooks Addision, TX, and Richard Wayne Demetriou Dunwoody, GA, Respondents. DECISION Complaint No. 2013035345701 Dated: June 2, 2021 Registered representative made material, false and misleading statements to customers, engaged in undisclosed, unapproved outside business activities, | NAC Decisions | Titan Securities Brad C. Brooks, Richard Wayne Demetriou |
06/02/2021 |
| 2020065429701 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065429701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alisha T. Johnson (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4001356 Pursuant to FINRA Rule 9216, Respondent Alisha T. Johnson 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) | Alisha T. Johnson |
06/01/2021 |
| 2020067652701 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067652701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Kimball Meadows (Respondent) Former General Securities Representative CRD No. 2878889 Pursuant to FINRA Rule 9216, Respondent Kevin Kimball Meadows 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 Kimball Meadows |
05/28/2021 |
| 2021070775901 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070775901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Warren (Respondent) Former General Securities Representative CRD No. 2707969 Pursuant to FINRA Rule 9216, Respondent Jeffrey Warren 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) | Jeffrey Warren |
05/28/2021 |
| 2017052701101 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES W. FLOWER (CRD No. 2817701), Respondent. Disciplinary Proceeding No. 2017052701101 Hearing Officer—LOM EXTENDED HEARING PANEL DECISION May 27, 2021 Respondent, James W. Flower, excessively traded in five customer accounts in violation of FINRA rules regarding quantitative unsuitability. Respondent’s misconduct rose to the level of churning because he traded for his own benefit, in reckless | OHO Decisions | JAMES W. FLOWER |
05/27/2021 |
| 2019064813801 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. NYPPEX, LLC (CRD No. 47654), Laurence Allen (CRD No. 1063970), and Michael Schunk (CRD No. 732595) Respondents. Disciplinary Proceeding No. 2019064813801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On December 28, 2018, the Office of the New York Attorney General (NYAG) secured an Ex Parte Order (the Order) from the Supreme Court of the State of New York. The Order preliminarily enjoined and | Complaints | NYPPEX, LLC Laurence Allen, Michael Schunk |
05/27/2021 |
| 2016049001401 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016049001401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Goldman Sachs & Co. LLC (Respondent) Member Firm BD No. 361 Pursuant to FINRA Rule 9216, Respondent Goldman Sachs & Co. LLC, 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, if accepted, | AWCs (Letters of Acceptance, Waiver, and Consent) | Goldman Sachs & Co. LLC |
05/27/2021 |
| 2017052871401 | BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. William James Potter Glen Ridge, N.J., Respondent. Decision Complaint No. 2017052871401 Dated: May 27, 2021 Extended Hearing Panel found that respondent engaged in unethical conduct in violation of FINRA Rule 2010. Held, findings of violation reversed, sanctions vacated, and complaint dismissed. | NAC Decisions | William James Potter |
05/27/2021 |
| 2019063798401 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063798401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Elvis Beslagic (Respondent) Former General Securities Representative CRD No. 5565302 Pursuant to FINRA Rule 9216, Respondent Elvis Beslagic 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) | Elvis Beslagic |
05/27/2021 |