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FINRA Disciplinary Actions Online

Displaying 1 - 2 of 2
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
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