Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
RESEARCH and ADVERTISING
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.
December 2010
November 2010
September 2010
August 2010
Portales Partners, LLC
AWC/2009016184701
June 2010
May 2010
April 2010
Michael Scott Heslep
AWC/2008011629602
William Paul Pecoriello
AWC/2007011193302
March 2010
A.B.Watley Direct, Inc.
OS/2005003391301
Chi Tu Chow
AWC/2007009453201
February 2010
Westrock Advisors, Inc.
AWC/2007008162201
January 2010
David Alan Tucker
AWC/2008014583501
Enforcement Actions
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