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FINRA Disciplinary Actions Online

Displaying 1 - 15 of 555
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2017054462001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054462001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Axiom Capital Management, Inc., Respondent Member Firm CRD No. 26580 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Axiom Capital Management, Inc. (“Axiom” or 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)
Axiom Capital Management, Inc.
05/26/2020
2016048256701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048256701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arive Capital Markets, LLC, Respondent Member Firm CRD No. 8060 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Arive Capital Markets, LLC ("Arive" or 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)
Arive Capital Markets, LLC
03/27/2020
2018056477801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056477801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Pluris Capital Group, Inc., Respondent Member Firm BD No. 30811 John Fletcher, Respondent General Securities Representative CRD No. 2750926 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondents Pluris Capital Group, Inc, ("Pluris” or the "Firm”) and John Fletcher (collectively, "Respondents”) submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of AWCs (Letters of Acceptance, Waiver, and Consent)
Pluris Capital Group, Inc.
John Fletcher
03/17/2020
2017052480101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052480101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Aeon Capital Inc., Respondent Member Firm CRD No. 164004 Vincent Michael Bruno, Respondent General Securities Representative, General Securities Principal, Operations Professional, Compliance Officer Investment Banking Representative, Investment Banking Principal, Municipal Securities Representative, and Municipal Securities Principal CRD No. 1845833 AWCs (Letters of Acceptance, Waiver, and Consent)
Aeon Capital Inc.
Vincent Michael Bruno
12/10/2019
2016051813401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051813401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: KGS-Alpha Capital Markets, L.P., n/k/a BMO Capital Markets Corp., Respondent Broker-Dealer CRD No. 151705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent KGS-Alpha Capital Markets, L.P. ("KGS-Alpha" or the "Firm"), n/k/a BMO Capital Markets Corp. 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)
KGS-Alpha Capital Markets, L.P., n/k/a BMO Capital Markets Corp.
12/06/2019
2016048849001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160488490-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: PUMA Capital, LLC, Respondent Broker-Dealer CRD No. 146744 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent PUMA Capital, LLC (the "firm" or "PUMA Capital") 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)
PUMA Capital, LLC
12/04/2019
2016049183302 Corrected1 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059315001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Roxana Sophia McKinney, Respondent CRD No. 4830895 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Roxana Sophia McKinney submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a AWCs (Letters of Acceptance, Waiver, and Consent)
Ace Diversified Capital, Inc.
12/02/2019
2016047616401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047616401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alexander Capital, L.P., Respondent Member Firm BD No. 40077 Thomas Sullivan, Respondent Financial Operations Principal CRD No. 1145000 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Alexander Capital, L.P. ("Alexander Capital" or the "Firm") and Thomas Sullivan ("Sullivan")(collectively, "Respondents") 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)
Alexander Capital, L.P.
Thomas Sullivan
10/31/2019
2016050784101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050784101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Aurora Capital LLC, Respondent Member Firm CRD No. 37924 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Aurora Capital LLC ("Aurora Capital" 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)
Aurora Capital LLC
10/31/2019
2016048835401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048835401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Beta Capital Securities LLC, Respondent Broker-Dealer CRD No. 38964 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Beta Capital Securities LLC ("Beta Capital" or 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)
Beta Capital Securities LLC
10/21/2019
2016048444001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048444001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: WallachBeth Capital LLC, Respondent Broker-Dealer CRD No. 147853 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, WallachBeth Capital LLC (the "firm" 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)
WallachBeth Capital LLC
10/18/2019
2015046652401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046652401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC, Respondent CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent RBC Capital Markets, LLC ("RBC," 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)
RBC Capital Markets, LLC
10/17/2019
2016048196801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048196801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kalos Capital, Inc., Respondent FINRA Member Firm BD No. 44337 Darren Michael Kubiak, Respondent General Securities Representative CRD No. 1239086 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Kalos Capital, Inc. ("Kalos" or "the Firm") and Darren Michael Kubiak ("Kubiak") 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)
Kalos Capital, Inc.
Darren Michael Kubiak
09/06/2019
2015043490102 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043490102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Seven Points Capital, LLC, Respondent FINRA Member Firm BD No. 144211 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondent, Seven Points Capital, LLC ("Seven Points" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of AWCs (Letters of Acceptance, Waiver, and Consent)
Seven Points Capital, LLC
08/12/2019
2016048912703 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No 86497/July 26, 2019 Admin. Proc. File No. 3-18359 In the Matter of the Application of MEYERS ASSOCIATES, L.P. (n/k/a WINDSOR STREET CAPITAL, L.P.) and BRUCE MEYERS For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF DISCIPLINARY PROCEEDING Former member firm and its former principal appeal from FINRA disciplinary action SEC Decisions
MEYERS ASSOCIATES, L.P. (n/k/a WINDSOR STREET CAPITAL, L.P.)
BRUCE MEYERS
07/26/2019