FINRA Disciplinary Actions Online
Displaying 1 - 15 of 15
| 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 |
| 2016051209102 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051209102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Spencer Edwards, Inc. ("SEI"), Respondent CRD No. 22067 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, SEI 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) | Spencer Edwards, Inc. ("SEI") |
06/11/2019 |
| 2014041862701 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SPENCER EDWARDS, INC. (CRD No. 22067), Respondent. Disciplinary Proceeding No. 2014041862701 Hearing Officer-CC EXTENDED HEARING PANEL DECISION November 14, 2018 Member firm Respondent recommended and sold convertible two-year notes in a private placement to 13 customers without having a reasonable basis to believe that the investements | OHO Decisions | Spencer Edwards, Inc. |
11/14/2018 |
| 2014041862701 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Spencer Edwards, Inc., CRD No. 22067, Respondent. Disciplinary Proceeding No. 2014041862701 Hearing Officer ____ COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. Spencer Edwards, Inc. ("Spencer Edwards" or the "Firm") sold over $400,000 of convertible notes (the "notes") of a non-public company | Complaints | Spencer Edwards, Inc. |
12/04/2017 |
| 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 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 |
| 2013035256401 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035256401 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Spencer Trask Ventures, Inc., Respondent Member Firm BD No. 28373 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Spencer Trask Ventures, Inc. ("Spencer Trask" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing | AWCs (Letters of Acceptance, Waiver, and Consent) | SPENCER TRASK VENTURES, INC. |
12/10/2014 |
| 2012031507001 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120315070-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Spencer Edwards, Inc., Respondent Broker-Dealer CRD No. 22067 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Spencer Edwards, Inc. (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. This AWC is | AWCs (Letters of Acceptance, Waiver, and Consent) | SPENCER EDWARDS, INC. |
04/05/2013 |
| 2007007116901 | FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070071169-01 To: Department of Enforcement FINRA Re: A.G. Edwards & Sons, Inc. (CRD No. 4) Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, A.G. Edwards & Sons, Inc. (A.G. Edwards) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not | AWCs (Letters of Acceptance, Waiver, and Consent) | A.G. EDWARDS & SONS, INC. |
07/16/2008 |
| 2007011877401 | FINANCIAL INDUSTRY REGULATORY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007011877401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: A.G. Edwards & Sons, Inc., Respondent Former Member Firm (CRD No: 4) Pursuant to Rule 9216 of the FINRA Code of Procedure, Respondent A.G. Edwards & Sons, Inc. ("Edwards" or "Respondent" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of settlement of the alleged rule violations described | AWCs (Letters of Acceptance, Waiver, and Consent) | A.G. EDWARDS & SONS, INC. |
07/14/2008 |
| 2005000474001 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050004740-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: A.G. Edwards & Sons, Inc., Respondent Broker-DeaIer CRD No. 4 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, A.G. Edwards & Sons, Inc. (the ("firm") submits this Letter of Acceptance, Waiver and Consent (''AWC'') for the purpose of proposing a settlement of the | AWCs (Letters of Acceptance, Waiver, and Consent) | A.G. EDWARDS & SONS, INC. |
03/04/2008 |
| 2005001027001 | NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050010270-01 TO: Department of Market Regulation NASD RE: A.G. Edwards & Sons, Inc., Respondent Broker Dealer CRD No. 4 Pursuant to Rule 9216 of NASD Code of Procedure, A.G. Edwards & Sons, Inc. ("AGED" 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not | AWCs (Letters of Acceptance, Waiver, and Consent) | A.G. EDWARDS & SONS, INC. |
04/10/2007 |
| EAF0400790002 | NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0400790002 TO: Department of Enforcement NASD RE: A.G. Edwards & Sons, Inc. One North Jefferson St. Louis, Missouri 63103 BD No. 4 Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent A.G. Edwards & Sons, Inc. ("Edwards" 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 in Part II below. This AWC is submitted on the condition that, if | AWCs (Letters of Acceptance, Waiver, and Consent) | A.G. EDWARDS & SONS, INC. |
09/25/2006 |
| 2005000163102 | NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2005000163102 TO: Department of Market Regulation NASD RE: A.G. Edwards & Sons, Inc., Respondent Broker Dealer CRD No. 4 Pursuant to Rule 9216 of NASD Code of Procedure, A.G. Edwards & Sons, Inc. (''AGED" 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any | AWCs (Letters of Acceptance, Waiver, and Consent) | A.G. EDWARDS & SONS, INC. |
07/25/2006 |
| 2004200013901 | NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20042000139-01 TO: Department of Market Regulation NASD RE: Spencer Edwards, Inc., Respondent Broker-Dealer CRD No. 22067 Pursuant to Rule 9216 of NASD Code of Procedure, Spencer Edwards, Inc. ("SPIN") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions | AWCs (Letters of Acceptance, Waiver, and Consent) | SPENCER EDWARDS, INC. |
01/25/2006 |