Skip to main content

FINRA Disciplinary Actions Online

Displaying 106 - 120 of 16107
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2018056487801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056487801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Murry M. Shapero, Respondent General Securities Principal, General Securities Representative, and General Securities Sales Supervisor CRD No. 1846138 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Murry M. Shapero 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)
Murry M. Shapero
11/29/2019
2017056393301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056393301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rochelle Shoulders, Respondent Former Associated Person CRD No. 5212412 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Rochelle Shoulders 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)
Rochelle Shoulders
11/27/2019
2018057579701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057579701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Eugene Nathan Gordon, Respondent General Securities Representative CRD No. 4744448 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Eugene Nathan Gordon 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)
Eugene Nathan Gordon
11/27/2019
2010025087302 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 87638 / November 27, 2019 Admin. Proc. File No. 3-18150 In the Matter of the Application of THADDEUS J. NORTH For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDINGS Failure to Enforce Written Supervisory Procedures Registered representative of former FINRA member firm appeals from FINRA SEC Decisions
Thaddeus J. North
11/27/2019
2018059949301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059949301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Carmelo Arce Alvarez, Respondent General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 5526419 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Carmelo Arce Alvarez 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)
Carmelo Arce Alvarez
11/26/2019
2019061052201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061052201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael R. Severance, Respondent General Securities Representative CRD No. 1023971 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael R. Severance 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)
Michael R. Severance
11/25/2019
2018057753501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057753501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Seth Warshaw, Respondent Registered Representative CRD No. 5287542 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Seth Warshaw 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)
Seth Warshaw
11/25/2019
2019061049701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061049701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert F. Genito, Respondent Former Investment Company and Variable Contracts Products Representative and Investment Company Products/Variable Contracts Principal CRD No. 4760338 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Robert F. Genito ("Genito") 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)
Robert F. Genito
11/22/2019
2018058820101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058820101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dennis Masaaki Nakamura, Respondent General Securities Representative CRD No. 819626 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dennis Masaaki Nakamura ("Nakamura" or "Respondent") 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)
Dennis Masaaki Nakamura
11/21/2019
2018058397101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058397101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Quentin Kendrick, Respondent General Securities Representative CRD No. 4384666 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David Quentin Kendrick ("Kendrick" or "Respondent") 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)
David Quentin Kendrick
11/21/2019
2019061715601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061715601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Harold A. Schwartz, Respondent General Securities Representative and General Securities Principal CRD No. 841225 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Harold A. Schwartz 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)
Harold A. Schwartz
11/21/2019
2016049105201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049105201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CODA Markets, Inc., Respondent Member Firm CRD No. 36187 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent CODA Markets, Inc. (the "Firm" or "CODA") 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)
CODA Markets, Inc.
11/21/2019
2018058815501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058815501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew Leon White, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 5365185 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Matthew Leon White ("White" or "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)
Matthew Leon White
11/21/2019
2016050685102 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050685102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: NYLIFE Securities LLC, Respondent Member Firm CRD No. 5167 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, 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)
NYLIFE Securities LLC
11/20/2019
2019064468601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064468601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gerald A. Eaton, Respondent Former Registered Representative CRD No. 2279093 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Gerald A. Eaton 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)
Gerald A. Eaton
11/20/2019