Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
CASES OF NOTE
NOTE: Stipulations of Fact and Consent to Penalty (SFC); Offers of Settlement (OS); and Letters of Acceptance Waiver, and Consent (AWC) are entered into by Respondents without admitting or denying the allegations, but consent is given to the described sanctions & to the entry of findings. Additionally, for AWCs, if FINRA has reason to believe a violation has occurred and the member or associated person does not dispute the violation, FINRA may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing before a hearing panel, and any right of appeal to the National Adjudicatory Council, the SEC, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. The letter shall describe the act or practice engaged in or omitted, the rule, regulation, or statutory provision violated, and the sanction or sanctions to be imposed.
0
Steven Tyler Moses
AWC/2009019276102
0
0
David Charles Clayton
AWC/2008015620301
Gary Harrison Lane
AWC/2011027048601
Joel Arthur Hulke
2009018295601
Steven Robert Carestia
AWC/2010025194901
Thomas Colby Cantrell
AWC/2009016709021
Enforcement Actions
Search in Cases of Note : FINRACases of Note : NYSE RulesContinuing EducationOutside Business ActivitiesPrivate Securities TransactionsU4, U5, RE-3, Rule 3070Research and AdvertisingUndisclosed Settlements» Statutory Disqualification
Months
 
Cases of Note : FINRACases of Note : NYSE RulesContinuing EducationOutside Business ActivitiesPrivate Securities TransactionsU4, U5, RE-3, Rule 3070Research and AdvertisingUndisclosed Settlements» Statutory Disqualification Archive
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