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FINRA Disciplinary Actions Online

Displaying 91 - 105 of 16107
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2018059907201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059907201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alastair Jamie Barnes, Respondent Former General Securities Representative ("GSR") CRD No. 6355496 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Alastair Jamie Barnes 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)
Alastair Jamie Barnes
12/05/2019
2018059491102 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059491102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James D'Meo, Respondent Former Investment Company and Variable Contracts Products CRD No. 1444759 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James D'Meo 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)
James D'Meo
12/05/2019
2013039634703 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2013039634703 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Key Investment Services LLC, Respondent Member Firm CRD No. 136300 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Key Investment Services LLC ("KIS," "Respondent," 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)
Key Investment Services LLC
12/05/2019
2018057097301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057097301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John A. Borsellino, Former General Securities Representative CRD No. 2006663 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John Borsellino submits 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)
John A. Borsellino
12/04/2019
2018059111001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059111001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chelsea Financial Services, Respondent Member Firm CRD No. 47770 Christopher Vetrano, Respondent General Securities Representative, General Securities Principal, Investment Banking Representative, Investment Banking Principal, Operations Professional CRD 2476447 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Chelsea Financial Services ("Chelsea Financial" or the "Firm") and Christopher Vetrano (together, "Respondents") 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)
Chelsea Financial Services
Christopher Vetrano
12/04/2019
2016050018101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050018101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jerry M. Wells, Respondent General Securities Representative, Investment Company and Variale Contracts Products CRD No. 1015358 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jerry M. Wells submits 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)
Jerry M. Wells
12/04/2019
2019062450201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062450201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Yasmin Bashirova, Respondent Investment Banking Representative CRD No. 6682110 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Yasmin Bashirova ("Respondent" or "Bashirova") submits 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)
Yasmin Bashirova
12/04/2019
2016048849001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160488490-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: PUMA Capital, LLC, Respondent Broker-Dealer CRD No. 146744 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent PUMA Capital, LLC (the "firm" or "PUMA Capital") submits 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)
PUMA Capital, LLC
12/04/2019
2019063663401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063663401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Rober Renteria, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 5773053 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert Renteria ("Respondent") 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)
Robert Renteria
12/04/2019
2017052475702 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052475702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Anthony Pace, Respondent CRD No. 2481049 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Anthony Pace submits 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)
Anthony Pace
12/03/2019
2017056579501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056579501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: International Assets Advisory, LLC, Respondent Member Firm CRD No. 10645 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, International Assets Advisory, LLC ("IAA" 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)
International Assets Advisory, LLC
12/03/2019
2017055363301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055363301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: D.A. Davidson & Co., Respondent Member Firm CRD No. 199 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent D.A. Davidson & Co. 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)
D.A. Davidson & Co.
12/02/2019
2017055164001 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kane H. Waller CRD No. 4537969, Respondent. Disciplinary Proceeding No. 2017055164001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On three occasions from December 2, 2011 to January 17, 2017 (the "Relevant Complaints
Kane H. Waller
12/02/2019
2016049183302 Corrected1 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059315001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Roxana Sophia McKinney, Respondent CRD No. 4830895 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Roxana Sophia McKinney submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a AWCs (Letters of Acceptance, Waiver, and Consent)
Ace Diversified Capital, Inc.
12/02/2019
2018059315002 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059315002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Roxana Sophia McKinney, Respondent CRD No. 4830895 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Roxana Sophia McKinney 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)
Roxana Sophia McKinney
12/02/2019