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FINRA Disciplinary Actions Online
Displaying 106 - 120 of 17001
| Case ID | Case Summary | Document Type | Firms/ Individuals | Action Date Sort ascending |
|---|---|---|---|---|
| 2019064188001 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064188001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William H. Dixon (Respondent) General Securities Representative CRD No. 68881 Pursuant to FINRA Rule 9216, Respondent William H. Dixon 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 H. Dixon |
05/11/2021 |
| 2020066794901 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066794901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jue-Hua Rae Yau (Respondent) General Securities Representative (GSR) CRD No. 5664387 Pursuant to FINRA Rule 9216, Respondent Jue-Hua Rae Yau 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) | Jue-Hua Rae Yau |
05/10/2021 |
| 2019064630801 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064630801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Candido J. Viyella (Respondent) Former General Securities Representative and Investment Banking Representative CRD No. 1829255 Pursuant to FINRA Rule 9216, Respondent Candido J. Viyella submits this Letter of Acceptance, Waiver, and Consent (AWC) | AWCs (Letters of Acceptance, Waiver, and Consent) | Candido J. Viyella |
05/10/2021 |
| 2020068815701 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068815701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hung Sam (Respondent) Former General Securities Representative CRD No. 6065447 Pursuant to FINRA Rule 9216, Respondent Hung Sam 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) | Hung Sam |
05/10/2021 |
| 2019063752801 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063752801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lance Damion Lienart (Respondent) Former General Securities Representative CR0 No. 2623132 Pursuant to FINRA Rule 9216, Respondent Lance Damion Lienart 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) | Lance Damion Lienart |
05/10/2021 |
| 2021070234801 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070234801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Francisco W. Coronel (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5001727 Pursuant to FINRA Rule 9216, Respondent Francisco W. Coronel 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) | Francisco W. Coronel |
05/10/2021 |
| 2020068525301 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068525301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John E. Simmons, Jr. (Respondent) Former General Securities Representative CRD No. 4878890 Pursuant to FINRA Rule 9216, Respondent John E. Simmons, Jr. 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) | John E. Simmons, Jr. |
05/10/2021 |
| 2014043627501 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014043627501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SpeedRoute LLC (Respondent) Member Firm CRD No. 104138 Pursuant to FINRA Rule 9216, Respondent SpeedRoute LLC 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) | SpeedRoute LLC |
05/07/2021 |
| 2018059464001 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059464001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cantor Fitzgerald & Co. (Respondent or Cantor) Member Firm CRD No. 134 Pursuant to FINRA Rule 9216, Respondent Cantor Fitzgerald & 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) | Cantor Fitzgerald & Co. |
05/06/2021 |
| 2019062972401 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062972401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UnionBanc Investment Services, LLC (Respondent) Member Firm CRD No. 14455 Pursuant to FINRA Rule 9216, Respondent UnionBanc Investment Services, LLC (“UBIS”) 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) | UnionBanc Investment Services, LLC |
05/05/2021 |
| 2018057274302 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JASON LYNN DIPAOLA (CRD No. 2848836), Respondent. DISCIPLINARY PROCEEDING NO. 2018057274302 COMPLAINT The Department of Enforcement alleges as follows: SUMMARY 1. From March 2015 to March 2017 (the “relevant period”), Jason Lynn DiPaola, while associated with FINRA member firm Chardan Capital Markets, LLC (“Chardan” or the “Firm”), exercised discretion and controlled the trading in his mother’s brokerage | Complaints | JASON LYNN DIPAOLA |
05/03/2021 |
| 2018059035703 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059035703 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: O.N. Equity Sales Company, Inc. (Respondent) Member Firm CRD No. 2936 Pursuant to FINRA Rule 9216, Respondent O.N. Equity Sales Company, 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) | O.N. Equity Sales Company, Inc. |
04/30/2021 |
| 2019064851901 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064851901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gary Len Wells (Respondent) Former General Securities Representative CRD No. 1142058 Pursuant to FINRA Rule 9216, Respondent Gary Len Wells 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) | Gary Len Wells |
04/29/2021 |
| 2017056698601 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jason Edward Schwartz CRD No. 2798141, Respondent. Disciplinary Proceeding No. 2017056698601 Hearing Officer— RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 27, 2021 INTRODUCTION Disciplinary Proceeding No. 2017056698601 was filed on December 7, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Jason Edward Schwartz submitted an | Orders Accepting Offers of Settlement | Jason Edward Schwartz |
04/27/2021 |
| 2020065128501 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, , Complainant v. WILFREDO FELIX (CRD No. 2693672), Respondent. Disciplinary Proceeding No. 2020065128501 Hearing Officer–BEK DEFAULT DECISION April 27, 2021 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide documents and information requested by FINRA, in violation of FINRA Rules 8210 and 2010. | OHO Decisions | WILFREDO FELIX |
04/27/2021 |