Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

FINRA Disciplinary Actions Online

Displaying 1 - 1 of 1
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2016050914401 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050914401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Simon Michael Joseph, Respondent General Securities Representative CRD No. 5602157 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Simon Michael Joseph 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)
Simon Michael Joseph
10/10/2019