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FINRA Disciplinary Actions Online

Displaying 121 - 135 of 15878
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2017052760001 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. NANCY KIMBALL MELLON (CRD No. 1253484), Respondent. DISCIPLINARY PROCEEDING NO. 2017052760001 Hearing Officer-MJD HEARING PANEL DECISION Date: July 11, 2019 Respondent converted $4,300 from her employer firm by submitting false expense reports, causing the firm to maintain inaccurate books and records. OHO Decisions
NANCY KIMBALL MELLON
07/11/2019
2017056319201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056319201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Roman A. Corona (CRD No. 6347429) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Roman A. Corona ("Corona" 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)
Roman A. Corona
07/11/2019
2013039188301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013039188301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. ("BNP Paribas" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement AWCs (Letters of Acceptance, Waiver, and Consent)
BNP Paribas Securities Corp.
07/11/2019
2017055503601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055503601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert Scott Davis Registered Representative CRD No. 4662922 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)
Robert Scott Davis
07/10/2019
2017054848101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054848101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jonathon Hartwig Associated Person CRD No. 6370247 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jonathon Hartwig ("Hartwig" 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)
2017054848101
07/10/2019
2017053681001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053681001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: George McElroy, Respondent Former Registered Representative CRD No. 1807305 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)
George McElroy
07/10/2019
2013038210402 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038210402 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Aegis Capital Corp., Respondent Broker-Dealer CRD No. 15007 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Aegis Capital Corp. (the "Firm" or "Respondent"), 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)
Aegis Capital Corp.
07/10/2019
2017055439501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055439501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Hardin Alexander, Respondent General Securities Representative CRD No. 4751186 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, John Hardin Alexander ("Alexander"), 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)
John Hardin Alexander
07/10/2019
2018057708001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057708001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jeffrey Wade Lundstrom, Respondent Former Investment Company Products/Variable Contracts Representative CRD No. 2377839 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 AWCs (Letters of Acceptance, Waiver, and Consent)
Jeffrey Wade Lundstrom
07/10/2019
2014042373804 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042373804 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Clearpool Execution Services, LLC, Respondent Broker-Dealer CRD No. 168490 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Clearpool Execution Services, LLC ("Clearpool," the "firm," or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of AWCs (Letters of Acceptance, Waiver, and Consent)
Clearpool Execution Services, LLC
07/10/2019
2018058322401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058322401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dennis Carey Ward, Respondent Registered Representative CRD No. 1210684 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)
Dennis Carey Ward
07/09/2019
2017052485801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052485801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Traderfield Securities Inc., Respondent BD No. 20130 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Traderfield Securities Inc. ("Traderfield" or "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a AWCs (Letters of Acceptance, Waiver, and Consent)
20130
07/09/2019
2016051808903 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051808903 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: OTA, LLC, Respondent CRD No. 25816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, OTA, LLC ("OTA," "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 AWCs (Letters of Acceptance, Waiver, and Consent)
OTA, LLC
07/08/2019
2018056922501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056922501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Linda Sue Zara, Respondent General Securities Representative CRD No. 2322009 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Linda Sue Zara ("Zara" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
Linda Sue Zara
07/08/2019
2014043477301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043477301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of AWCs (Letters of Acceptance, Waiver, and Consent)
Citigroup Global Markets Inc.
07/08/2019