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FINRA Disciplinary Actions Online
Displaying 121 - 135 of 17001
| Case ID | Case Summary | Document Type | Firms/ Individuals | Action Date Sort ascending |
|---|---|---|---|---|
| 2020066109401 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066109401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald V. Pullman (Respondent) Former Registered Representative CRD No. 1743097 Pursuant to FINRA Rule 9216, Respondent Ronald V. Pullman 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) | Ronald V. Pullman |
04/27/2021 |
| 2018059856601 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059856601TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin D. Barton (Respondent) General Securities Representative CRD No. 2542056 Pursuant to FINRA Rule 9216, Respondent Kevin D. Barton 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) | Kevin D. Barton |
04/27/2021 |
| 2019061646405 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061646405 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul A. Spero (Respondent) General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 1637713 Pursuant to FINRA Rule 9216, Respondent Paul A. Spero 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) | Paul A. Spero |
04/26/2021 |
| 2019062788601 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062788601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Constantinos Maniatis (Respondent) Former General Securities Representative CRD No. 4253356 Pursuant to FINRA Rule 9216, Respondent Constantinos Maniatis 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) | Constantinos Maniatis |
04/26/2021 |
| 2019063251701 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063251701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Martin Martirosian (Respondent) General Securities Representative CRD No. 5261144 Pursuant to FINRA Rule 9216, Respondent David Martin Martirosian 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) | David Martin Martirosian |
04/26/2021 |
| 2019064935601 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064935601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sun Hyung Kim (Respondent) General Securities Representative CRD No. 2548242 Pursuant to FINRA Rule 9216, Respondent Sun Hyung Kim (Kim) 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) | Sun Hyung Kim |
04/26/2021 |
| 2020065709801 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065709801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cynthia Kay Whitman (Respondent) General Securities Representative CRD No. 5688967 Pursuant to FINRA Rule 9216, Respondent Cynthia Kay Whitman 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 Kay Whitman |
04/26/2021 |
| 2018058600001 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018058600001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Maxim Group LLC (Respondent) Member Firm CRD No. 120708 Pursuant to FINRA Rule 9216, Respondent Maxim Group 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) | Maxim Group LLC |
04/23/2021 |
| 2019063574801 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063574801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Frederick Joseph Rock (Respondent) Former General Securities Representative CRD No. 2548242 Pursuant to FINRA Rule 9216, Respondent Frederick Joseph Rock 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) | Frederick Joseph Rock |
04/23/2021 |
| 2018059478701 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059478701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott David Fergang (Respondent) General Securities Representative CRD No. 1758758 Pursuant to FINRA Rule 9216, Respondent Scott David Fergang 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) | Scott David Fergang |
04/23/2021 |
| 2018057952801 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057952801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Oppenheimer & Co. Inc. (Respondent) Member Firm CRD No. 249 Pursuant to FINRA Rule 9216, Respondent Oppenheimer & Co. 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) | Oppenheimer & Co. Inc. |
04/22/2021 |
| 2019061942701 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061942701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tania L. Smith (Respondent) General Securities Representative CRD No. 5208859 Pursuant to FINRA Rule 9216, Respondent Tania L. Smith 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) | Tania L. Smith |
04/22/2021 |
| 2019063283801 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063283801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew Angelo Siliato (Respondent) Former General Securities Representative CRD No. 5062153 Pursuant to FINRA Rule 9216, Respondent Matthew Angelo Siliato 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 Angelo Siliato |
04/22/2021 |
| 2019064978901 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064978901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John L. Scott (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2407610 Pursuant to FINRA Rule 9216, Respondent John L. Scott 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 L. Scott |
04/22/2021 |
| 2018060906101 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060906101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald Patrick Cameron General Securities Representative CRD No. 2551641 Pursuant to FINRA Rule 9216, Respondent Ronald Patrick Cameron 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) | Ronald Patrick Cameron |
04/22/2021 |