FINRA Disciplinary Actions Online
Displaying 1 - 4 of 4
| Case ID | Case Summary | Document Type | Firms/ Individuals | Action Date Sort ascending |
|---|---|---|---|---|
| 2013035865303 | BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Spencer Edwards, Inc. Centennial, CO, Respondent. DECISION Complaint No. 2013035865303 Dated: December 10, 2019 Spencer Edwards: (1) sold unregistered and nonexempt microcap securities; (2) failed to establish and maintain a supervisory system, including written supervisory procedures, that was reasonably designed to prevent the sale of | NAC Decisions | Spencer Edwards, Inc. |
12/10/2019 |
| 2013035865303 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SPENCER EDWARDS, INC. (CRD No. 22067), Respondent. Disciplinary Proceeding No. 2013035865303 Hearing Officer-DW EXTENDED HEARING PANEL DECISION March 21, 2017 Respondent facilitated unregistered and nonexempt customer sales of billions of shares of securities in violation of Section 5 of the Securities Act of 1933 and inconsistent with just and equitable principles of trade. It also failed to | OHO Decisions | Spencer Edwards, Inc. |
03/21/2017 |
| 2013035865303 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. SPENCER EDWARDS, INC. (CRD No. 22067), and GORDON DIHLE (CRD No. 1851834), Respondents. Disciplinary Proceeding No. 2013035865303 Hearing Officer: CC ORDER ACCEPTING OFFER OFSETTLEMENT Date: December 23, 2015 INTRODUCTION Disciplinary Proceeding No. 2013035865303 was filed on November 2, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) | Orders Accepting Offers of Settlement | GORDON DIHLE |
12/23/2015 |
| 2013035865303 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SPENCER EDWARDS, INC. (CRD No. 22067), and GORDON DIHLE (CRD No. 1851834), Respondents. DISCIPLINARY PROCEEDING No. 2013035865303 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between January 2011 and December 2012 (the "relevant period"), Spencer Edwards, Inc. ("SEI"), acting through two registered representatives, liquidated approximately 4 billion shares of six penny | Complaints | SPENCER EDWARDS, INC. GORDON DIHLE |
11/02/2015 |