Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
RESEARCH and ADVERTISING
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 Malcolm Reardon
AWC/2010021058404
October 2011
Jaime Campos Lopez
AWC/2009018640401
September 2011
Veritrust Financial, LLC
AWC/2008011640802
August 2011
LPL Financial LLC
AWC/2010021545201
Timothy D. Camarillo
OS/2010023612301
July 2011
UBS Securities LLC
AWC/2009018057401
June 2011
Abhijit Chakrabortti
AWC/2009017892301
NFP Securities, Inc.
AWC/2007011393902
May 2011
Christian Genitrini
AWC/2010022859701
April 2011
March 2011
Edward Gerald Spinelli
AWC/2009018288301
Eric Damien Kallies
AWC/2009016654401
Stuart Phillip Miller
AWC/2009018219101
February 2011
Jason Leekarl Beckett
AWC/2009016600001
Ronald George Spomer II
AWC/2009018497601
January 2011
Robert Charles Pollock
AWC/2009019042301
Enforcement Actions
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