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FINRA Disciplinary Actions Online

Displaying 91 - 105 of 15878
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2016049085401 BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Robert Charles McNamara Rye, New York, Respondent. Decision Complaint No. 2016049085401 Dated: July 30, 2019 Respondent failed to disclose to his employer brokerage accounts held at another broker-dealer, improperly purchased equity initial public offering shares in an account held at that broker-dealer, and provided inaccurate NAC Decisions
Robert Charles McNamara
07/30/2019
2019062228501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062228501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Michael Filipidis, Respondent Non-Registered Fingerprint individual CRD No. 6940966 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)
Michael Filipidis
07/30/2019
2018060051801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060051801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cheryl C. Blakey, Respondent CRD No. 6058053 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cheryl C. Blakey ("Blakey") 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)
Cheryl C. Blakey
07/29/2019
2018060814701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060814701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Diane Zhu Former Investment Company and Variable Contracts Products Representative and Investment Company and Variable Products Principal CRD No. 2962421 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Diane Zhu ("Zhu") submit this Letter of Acceptance, Waiver and Consent ("AWC") AWCs (Letters of Acceptance, Waiver, and Consent)
Diane Zhu
07/29/2019
2018057626102 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057626102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Yousuf Saljooki, Respondent Former General Securities Representative CRD No. 5045123 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Yousuf Saljooki ("Saljooki") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement AWCs (Letters of Acceptance, Waiver, and Consent)
Yousuf Saljooki
07/29/2019
2019061425501 AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061425501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Cynthia Rice Jones, Respondent Former General Securities Representative CRD No. 706190 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Cynthia Jones 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 Rice Jones
07/29/2019
2018059735201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059735201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fortino R. Rivera, Respondent General Securities Representative CRD No. 6358600 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Fortino R. Rivera ("Rivera" 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)
Fortino R. Rivera
07/29/2019
2017054329501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054329501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc. CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. ("CGMI," "Respondent," or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the AWCs (Letters of Acceptance, Waiver, and Consent)
Citigroup Global Markets Inc.
07/29/2019
2016048912703 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No 86497/July 26, 2019 Admin. Proc. File No. 3-18359 In the Matter of the Application of MEYERS ASSOCIATES, L.P. (n/k/a WINDSOR STREET CAPITAL, L.P.) and BRUCE MEYERS For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF DISCIPLINARY PROCEEDING Former member firm and its former principal appeal from FINRA disciplinary action SEC Decisions
MEYERS ASSOCIATES, L.P. (n/k/a WINDSOR STREET CAPITAL, L.P.)
BRUCE MEYERS
07/26/2019
2017056829901 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Louis Mark Miller (CRD No. 3054955), Respondent. Disciplinary Proceeding No. 2017056829901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In March 2018, Enforcement initiated an investigation into allegations that Louis Mark Miller (“Miller"), a General Securities Representative with LPL Financial LLC (“LPL" or the “Firm”), a FINRA regulated Complaints
Louis Mark Miller
07/26/2019
2018057366101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057366101 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Michael P. Spolar, Respondent General Securities Representative CRD No. 2192992 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Michael P. Spolar (“Spolar” or “Respondent”) 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)
Michael P. Spolar
07/26/2019
2016051985602 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051985602 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Michael Thomas Lee, Respondent General Securities Representative CRD No. 4502893 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Michael Thomas Lee (“Lee” or “Respondent”), 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)
Michael Thomas Lee
07/26/2019
2015045254501 BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Richard O. White Charlotte, North Carolina, Respondent. DECISION Complaint No. 2015045254501 Dated: July 26, 2019 Respondent structured cash deposits to avoid federal reporting requirements. Held, findings affirmed and sanction modified. Appearances For the Complainant: Leo F. Orenstein, Esq., Joseph E. Strauss, Esq., Savvas A. Foukas, Esq., Tiffany A. Buxton, Esq., NAC Decisions
Richard O. White
07/26/2019
2017055914801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055914801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Emie Garcia, Respondent Former Registered Representative CRD No. 6329782 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 AWCs (Letters of Acceptance, Waiver, and Consent)
Emie Garcia
07/25/2019
2019061057001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061057001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Aaron Williams, Respondent General Securities Representative CRD No. 6672540 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Aaron Williams ("Williams" 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)
Aaron Williams
07/25/2019