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FINRA Disciplinary Actions Online

Displaying 106 - 120 of 15878
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2017053375801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053375801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stephen Michael Whiting, Respondent CRD No. 1752042 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Stephen Michael Whiting ("Whiting" 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)
Stephen Michael Whiting
07/25/2019
2019061459801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061459801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert F. Montes, Respondent Registered Representative CRD No. 835488 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Robert F. Montes ("Montes" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the AWCs (Letters of Acceptance, Waiver, and Consent)
Robert F. Montes
07/24/2019
2018057561201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057561201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brian Gregory DiJulio, Respondent General Securities Principal CRD No. 1647694 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Brian Gregory DiJulio, 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)
Brian Gregory DiJulio
07/23/2019
2018059146801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059146801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael David Garris, Respondent Former General Securities Representative CRD No. 1540384 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Michael David Garris ("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 David Garris
07/22/2019
2018058937702 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058937702 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Joseph Scott Eckhoff, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6703549 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Joseph Scott Eckhoff ("Eckhoff" or "Respondent") submits this Letter of Acceptance, Waiver and Consent AWCs (Letters of Acceptance, Waiver, and Consent)
Joseph Scott Eckhoff
07/22/2019
2016048837401 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. WILSON-DAVIS & CO., INC. (CRD No. 3777), JAMES C. SNOW, JR. (CRD No. 2761102), LYLE WESLEY DAVIS (CRD No. 62352), BYRON BERT BARKLEY (CRD No. 12469), and CRAIG STANTON NORTON (CRD No. 349405), Respondents. DISCIPLINARY PROCEEDING NO. 2016048837401 COMPLAINT The Department of Enforcement alleges as follows: SUMMARY 1. From late February 2015 through June 2015, Wilson-Davis & Co., Inc. Complaints
WILSON-DAVIS & CO.
JAMES C. SNOW, JR., LYLE WESLEY DAVIS, BYRON BERT BARKLEY, CRAIG STANTON NORTON
07/19/2019
2018060898601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060898601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Eric Savell, Respondent Former Registered Representative CRD No. 4182368 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)
Eric Savell
07/18/2019
2017054847101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054847101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Wilson Fleming, Respondent Former Registered Representative CRD No. 1021968 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)
David Wilson Fleming
07/18/2019
2019062412601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062412601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Thomas John Marino, Respondent Registered Representative CRD No. 4438533 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Thomas John Marino ("Marino" 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)
Thomas John Marino
07/18/2019
2018059545201 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Robert Juan Escobio (CRD No. 703813), Respondent. DISCIPLINARY PROCEEDING NO. 2018059545201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From March 2019 to the present, Respondent Robert Juan Escobio has repeatedly failed to provide information and documents requested by FINRA Staff pursuant to FINRA Rule 9210 in an investigation involving whether Escobio Complaints
Robert Juan Escobio
07/17/2019
2011027666902 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES ACT OF 1933 Release No. 10662/July 17, 2019 SECURITIES EXCHANGE ACT OF 1934 Release No. 86404/July 17, 2019 Admin. Proc. File No. 3-18045 In the Matter of the Application of MERRIMAC CORPORATE SECURITIES, INC. and ROBERT G. NASH For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDING SEC Decisions
MERRIMAC CORPORATE SECURITIES, INC.
ROBERT G. NASH
07/17/2019
2017056440501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056440501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Western International Securities, Inc., Respondent CRD No. 39262 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Western International Securities, Inc. ("Western" or the "Firm") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of AWCs (Letters of Acceptance, Waiver, and Consent)
Western International Securities, Inc.
07/16/2019
2016049977201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049977201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Park Avenue Securities LLC, Respondent CRD No. 46173 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Park Avenue Securities LLC ("PAS" or the "Firm") submits 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)
Park Avenue Securities LLC
07/16/2019
2017055024201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055024201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cindy Maria Fuzie, Respondent CRD No. 5222145 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Cindy Maria Fuzie ("Fuzie" 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)
Cindy Maria Fuzie
07/15/2019
2017053705201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053705201 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Samuel K. Van Allen, Respondent CRD No. 4464706 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Samuel K. Van Allen (“Van Allen” or “Respondent”), 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)
Samuel K. Van Allen
07/15/2019