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FINRA Disciplinary Actions Online

Displaying 121 - 135 of 16107
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2018060408801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060408801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Joseph Viet Duy Phan, Respondent Former Registered CRD No. 2555300 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Joseph Viet Duy Phan ("Phan" or "Respondent"), 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)
Joseph Viet Duy Phan
11/20/2019
2019062569401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062569401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Clark M. Nobil, Respondent General Securities Representative CRD No. 348552 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Clark M. Nobil ("Nobil" 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)
Clark M. Nobil
11/19/2019
2018060602301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060602301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Linda A. Jay, Respondent Former Investment Company and Variable Contracts Principal, and General Securities Representative CRD No. 4633853 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Linda A. Jay 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)
Linda A. Jay
11/19/2019
2018059948701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059948701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alexander G. Lycouris, Respondent Former Registered Representative CRD No. 6422905 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Alexander G. Lycouris, 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)
Alexander G. Lycouris
11/19/2019
2017056104801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056104801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Jason Collins, Respondent General Securities Representative CRD No. 2915653 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael Jason Collins ("Collins") 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)
Michael Jason Collins
11/18/2019
2014041107201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041107201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gregory Paul Pellizzon, Respondent Former Registered Representative CRD No. 712667 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Gregory Paul Pellizzon ("Pellizzon") 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)
Gregory Paul Pellizzon
11/18/2019
2017056673501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056673501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Julie Ann Mineard, Respondent General Securities Representative CRD No. 3230787 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Julie Ann Mineard ("Mineard" 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)
Julie Ann Mineard
11/15/2019
2018060577601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060577601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul M. Mallory, Respondent Former General Securities Representative, General Securities Principal, and Municipal Securities Representative CRD No. 4954768 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Paul M. Mallory 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 M. Mallory
11/15/2019
2017054548001 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEVIN J. MURPHY (CRD No. 1645347), Respondent. DISCIPLINARY PROCEEDING NO. 2017054548001 Hearing Officer-DDM ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 15, 2019 INTRODUCTION Disciplinary Proceeding No. 2017054548001 was filed on September 16, 2019, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Kevin J. Murphy submitted an Offer Orders Accepting Offers of Settlement
KEVIN J. MURPHY
11/15/2019
2018059663501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059663501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fredrick M. Randhahn, Respondent Former General Securities Representative CRD No. 1338801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Fredrick M. Randhahn 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)
Fredrick M. Randhahn
11/14/2019
2018060118401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060118401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Joseph Kearney, Respondent Former General Securities Representative CRD No. 265734 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, James Joseph Kearney ("Kearney" 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)
James Joseph Kearney
11/14/2019
2017054875402 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054875402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mauricio Abadi, Respondent Former General Securities Representative CRD No. 4461130 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Mauricio Abadi 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)
Mauricio Abadi
11/14/2019
2015048347901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015048347901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Clint H. Keener, Respondent Registered Representative CRD No. 2250146 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Clint H. Keener 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)
Clint H. Keener
11/12/2019
2016050847301 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050847301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian J. Lockett, Respondent General Securities Representative CRD No. 4573162 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Brian J. Lockett ("Respondent" or "Lockett") 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)
Brian J. Lockett
11/12/2019
2016051256201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051256201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BGC Financial, L.P., Respondent Broker-Dealer CRD No. 19801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BGC Financial, L.P. (the "firm") 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)
BGC Financial, L.P.
11/12/2019