Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
RESEARCH and ADVERTISING
2009
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 2009
Peter Christian Dunne
OS/2007011937002
November 2009
Rodney Lee Cantrell
AWC/2007009405901
September 2009
Name Redacted
AWC/2007009784401
August 2009
David Travis Weitz
AWC/2007011496201
Jamie Patrick Lake
AWC/2009017481401
Stephanie Murch Haggerty
AWC/2007011496202
July 2009
Wedge Securities, LLC
AWC/2007011191101
June 2009
April 2009
February 2009
James Stanley Gossett
AWC/2007008653501
January 2009
Enforcement Actions
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