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FINRA Disciplinary Actions Online
Displaying 91 - 105 of 17001
| Case ID | Case Summary | Document Type | Firms/ Individuals | Action Date Sort ascending |
|---|---|---|---|---|
| 2018058286901 | BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Wilfredo Felix North Amityville, NY, Respondent. DECISION Complaint No. 2018058286901 Dated: May 26, 2021 Respondent failed to comply with FINRA Rule 8210 requests and falsified expense entries, causing his member firm to maintain inaccurate books and records and file inaccurate FOCUS reports. Held, findings and sanctions affirmed, in relevant part. Appearances | NAC Decisions | Wilfredo Felix |
05/26/2021 |
| 2020065914202 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065914202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Edwards Ellis (Respondent) Former General Securities Representative CRD No. 6770635 Pursuant to FINRA Rule 9216, Respondent William Ellis 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) | William Edwards Ellis |
05/25/2021 |
| 2018057166105 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057166105 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wolverine Execution Services, LLC (Respondent) Member Firm CRD No. 120719 Pursuant to FINRA Rule 9216, Respondent Wolverine Execution Services, LLC (Wolverine 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) | Wolverine Execution Services, LLC |
05/24/2021 |
| 2019063601401 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063601401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Carl George Antaki (Respondent) General Securities Representative CRD No. 4177543 Pursuant to FINRA Rule 9216, Respondent Carl George Antaki 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) | Carl George Antaki |
05/20/2021 |
| 2017052867301 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MERCER HICKS III (CRD No. 245170), Respondent. Disciplinary Proceeding No. 2017052867301 Hearing Officer-MC EXTENDED HEARING PANEL DECISION May 19, 2021 Respondent Mercer Hicks III is barred from associating with any FINRA member firm in any capacity for making unsuitable recommendations to five | OHO Decisions | Mercer Hicks III |
05/19/2021 |
| 2019060701001 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060701001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Daniel Lopez (Respondent) Former General Securities Principal CRD No. 2667397 Pursuant to FINRA Rule 9216, Respondent David Daniel Lopez 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 Daniel Lopez |
05/19/2021 |
| 2018060596601 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060596601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Levi William Johnson (Respondent) General Securities Representative CRD No. 1539986 Pursuant to FINRA Rule 9216, Respondent Levi William 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) | Levi William Johnson |
05/19/2021 |
| 2018058588501 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complaint, v. CHRISTOPHER PETER TRANCHINA (CRD No. 5657849), Respondent. Disciplinary Proceeding No. 2018058588501 Hearing Officer-DDM HEARING PANEL DECISION May 18, 2021 Respondent Christopher Peter Tranchina engaged in conversion and unauthorized access to firm information by breaking into his former firm's offices and taking customer files. For this misconduct, he is barred from associating with a | OHO Decisions | CHRISTOPHER PETER TRANCHINA |
05/18/2021 |
| 2019064242701 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064242701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mark William Just (Respondent) General Securities Principal CRD No. 1138738 Pursuant to FINRA Rule 9216, Respondent Mark William Just 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) | Mark William Just |
05/18/2021 |
| 2019064407601 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064407601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chander Ketu Goel (Respondent) Former General Securities Representative and General Securities Principal CRD No. 4588999 Pursuant to FINRA Rule 9216, Respondent Chander Ketu Goel 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) | Chander Ketu Goel |
05/18/2021 |
| 2018060466201 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060466201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Calton & Associates, Inc. (Respondent) Member Firm CRD No. 20999 Pursuant to FINRA Rule 9216, Respondent Calton & Associates, 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) | Calton & Associates, Inc. |
05/18/2021 |
| 2018056458801 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056458801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bradley Woods & Co. Ltd. (Respondent) Member Firm CRD No. 13660 Daniel Ripp (Respondent) General Securities Principal CRD No. 1398164 Pursuant to FINRA Rule 9216, Respondents Bradley Woods & Co. Ltd. and Daniel Ripp submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement | AWCs (Letters of Acceptance, Waiver, and Consent) | Bradley Woods & Co. Ltd. Daniel Ripp |
05/14/2021 |
| 2021069176201 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069176201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Eric John Vici (Respondent) Former Investment Company and Variable Contracts Products Representative (IR) CRD No. 6114866 Pursuant to FINRA Rule 9216, Respondent Eric John Vici 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) | Eric John Vici |
05/14/2021 |
| 2018058501502 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jason Howell Poff CRD No. 4078570, Respondent. Disciplinary Proceeding No. 2018058501502 Hearing Officer—MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: Mary 13, 2021 INTRODUCTION Disciplinary Proceeding No. 2018058501502 was filed on December 23, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Jason Howell Poff submitted | Orders Accepting Offers of Settlement | Jason Howell Poff |
05/13/2021 |
| 2019062347102 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Adam Gerard Belardino CRD No. 5221927, Respondent. Disciplinary Proceeding No. 2019062347102 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Adam Gerard Belardino failed on two occasions to appear for on-the-record (“OTR”) testimony requested by FINRA staff pursuant to FINRA Rule 8210. As a result, Belardino violated FINRA Rules 8210 and 2010. | Complaints | Adam Gerard Belardino |
05/12/2021 |