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FINRA Disciplinary Actions Online

Displaying 76 - 90 of 15878
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2018056269001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056269001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA";) RE: Matthew Albers, Respondent Registration Status: General Securities Representative CRD No. 2917814 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Matthew Albers, submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule AWCs (Letters of Acceptance, Waiver, and Consent)
Matthew Albers
08/01/2019
2019061628401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061628401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Damien Berkowicz, Respondent Former General Securities Representative CRD No. 4306842 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Damien Berkowicz submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule AWCs (Letters of Acceptance, Waiver, and Consent)
Damien Berkowicz
08/01/2019
2018057528501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057528501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Orlando Vargas, Respondent Former General Securities Representative CRD No. 5703625 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)
Orlando Vargas
08/01/2019
2016052176301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052176301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Beth Hamilton, Respondent General Securities Representative CRD No. 3092302 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Beth Ann Hamilton ("Hamliton" 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)
Beth Hamilton
08/01/2019
2017054889201 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v.. JAMES PAQUETTE (CRD No. 2164109), Respondent. Disciplinary Proceeding No. 2017054889201 Hearing Officer-RES DEFAULT DECISION August 1, 2019 For failure to timely update his Uniform Application for Securities Industry Registration to disclose a felony charge, Respondent is barred from associating with any FINRA member in any capacity. Complaints
James Paquette
08/01/2019
2015047175401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047175401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lori Sullivan Antolovic, Respondent General Securities Representative, Investment Banking Representative and Municipal Securities Principal CRD No. 1480968 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Lori Sullivan Antolovic ("Antolovic" or Respondent), submit AWCs (Letters of Acceptance, Waiver, and Consent)
Lori Sullivan Antolovic
08/01/2019
2017054867601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054867601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dinosaur Financial Group LLC, Respondent CRD No. 104446 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dinosaur Financial Group LLC ("Dinosaur" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") AWCs (Letters of Acceptance, Waiver, and Consent)
Dinosaur Financial Group LLC
08/01/2019
2019062318301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062318301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Elizabeth Stockwell, Respondent General Securities Representative CRD No. 6398497 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Elizabeth Stockwell submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement AWCs (Letters of Acceptance, Waiver, and Consent)
Elizabeth Stockwell
08/01/2019
2015045257501 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ricky Alan Mantei (CRD # 1098981), Respondent. DISCIPLINARY PROCEEDING No. 2015045257501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Ricky Mantei circumvented the supervisory system of J.P. Turner & Company ("JPT") on three occasions over the course of a five-month period. Complaints
Ricky Alan Mantei
08/01/2019
2014043001601 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 86523 / July 31, 2019 Admin. Proc. File No. 3-18546 In the Matter of the Application of ALLEN HOLEMAN For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION--REVIEW OF DISCIPLINARY PROCEEDINGS Registered principal of FINRA member firm appeals from FINRA disciplinary action finding that he did not timely updated his Form U4 to disclose tax liens, SEC Decisions
Allen Holeman
07/31/2019
2018059155702 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059155702 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael Joseph David Kane, Respondent General Securities Representative and General Securities Principal CRD No. 704604 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael Joseph David Kane ("Kane" or "Respondent") submits this Letter of Acceptance, Waiver and Consent AWCs (Letters of Acceptance, Waiver, and Consent)
Michael Joseph David Kane
07/30/2019
2018059155703 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059155703 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Darrick Atchison, Respondent General Securities Representative CRD No. 1284207 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John Darrick Atchison ("Atchison" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose AWCs (Letters of Acceptance, Waiver, and Consent)
John Darrick Atchison
07/30/2019
2018059155701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059155701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert Henry Forsyth, Respondent General Securities Representative CRD No. 1425529 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert Henry Forsyth ("Forsyth" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose AWCs (Letters of Acceptance, Waiver, and Consent)
Robert Henry Forsyth
07/30/2019
2019061700301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061700301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Eric Nichols, Respondent CRD No. 2710703 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Eric Nichols, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement AWCs (Letters of Acceptance, Waiver, and Consent)
Eric Nichols
07/30/2019
2018059962701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059962701 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: James Hal Heafner, Respondent Investment Company and Variable Contracts Products Representative CRD No. 4837072 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 AWCs (Letters of Acceptance, Waiver, and Consent)
James Hal Heafner
07/30/2019