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FINRA Disciplinary Actions Online

Displaying 1 - 15 of 561
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2017055668501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055668501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BMO Capital Markets Corp., Respondent Member Firm CRD No. 16686 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent BMO Capital Markets Corp. (“BMO"’ 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)
BMO Capital Markets Corp.
07/22/2020
3-18554 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 89260 / July 8, 2020 Admin. Proc. File No. 3-18554 In the Matter of the Application of COMMONWEALTH CAPITAL SECURITIES CORP. For Review of Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DENIAL OF MEMBERSHIP CONTINUANCE APPLICATION SEC Decisions
Commonwealth Capital Securities Corp.
07/08/2020
2017054925801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054925801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chardan Capital Markets, LLC, Respondent Member Firm CRD No. 120128 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Chardan Capital Markets, LLC (the “Firm,” “Respondent” or “Chardan”) 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)
Chardan Capital Markets, LLC
07/07/2020
2019060650601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019060650601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Avanza Capital Markets Inc., Respondent Member Firm CRD No. 103941 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Avanza Capital Markets Inc. ("Avanza" 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)
Avanza Capital Markets Inc.
07/01/2020
2015047727501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047727501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: WestPark Capital, Inc., Respondent Member Firm CRD No. 39914 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent, WestPark Capital, Inc. (“WestPark” 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)
WestPark Capital, Inc.
06/26/2020
2018057742601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057742601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BNY Mellon Capital Markets, LLC, Respondent Member Firm CRD No. 17454 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent BNY Mellon Capital Markets, LLC ("BNY" 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)
BNY Mellon Capital Markets, LLC
06/25/2020
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