Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
CASES OF NOTE :: NYSE
2010
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.
November 2010
OFG Financial Services, Inc.
AWC/2008011625301
AWC/2008011625301
September 2010
Anna Maria Somoza
AWC/2008015103701
AWC/2008015103701
January 2010
Credit Suisse Securities (USA) LLC
SFC/09-NYSE-24
SFC/09-NYSE-24
Cutler Group L.P.
OS/09-ARCA-12
OS/09-ARCA-12
Enforcement Actions
Search in Cases of Note : NYSE Rules
Months
Cases of Note : NYSE Rules Archive
Tags
- 529 College Savings Plan
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