Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
CONTINUING EDUCATION
2011
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.
December 2011
James Gregory Hogue
AWC/2009019276103
Jared Robert Lynch
AWC/2011029347801
November 2011
Christopher James Neri
AWC/2009021029624
Steven Lenard Jessup Jr.
AWC/2009021029623
October 2011
September 2011
Scott Roy Pierson
AWC/2009020572801
Veritrust Financial, LLC
AWC/2008011640802
August 2011
Dennis Osborn Beadle
AWC/2009021029706
July 2011
Bryan C. McCabe
AWC/2009021029617
Catherine Laura Baker
AWC/2009021029618
John Stultz Poland
AWC/2010023613401
Shaun Michael Donahue
AWC/2009021029619
June 2011
April 2011
Thomas Jeffery Gregory
AWC/2009021029704
March 2011
Kyle Egress
AWC/2009021029705
February 2011
Carson Jay Woods
AWC/2009021029616
January 2011
NAME REDACTED
AWC/2009021029703
Enforcement Actions
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