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FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2016048921103 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016048921103 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: PHX Financial, Inc. (Respondent) Member Firm CRD No. 144403 Robert Delaplain (Respondent) General Securities Principal CRD No. 1017107 Pursuant to FINRA Rule 9216, Respondents PHX Financial, Inc. (PHX) and Robert Delaplain submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the AWCs (Letters of Acceptance, Waiver, and Consent)
PHX Financial, Inc.
Robert Delaplain
12/18/2020