Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
UNDISCLOSED SETTLEMENTS
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
James Frederick Henjum
AWC/2007009449501
November 2009
Kimberly Sue Rutherford
AWC/2008012477401
September 2009
Stephen John Woods
AWC/2008015754101
August 2009
Gail Sylvenia Frick
AWC/2008013428001
Jason Jude Daeger
AWC/2008014243001
July 2009
Richard Wayne Hill
AWC/2008013715501
Steven Jones (Principal)
OS/#2006005683901
June 2009
May 2009
Patrick James Jensen
AWC/2007009082701
March 2009
January 2009
Jun M. Chiu
AWC/2007010948901
Michael D. Kirk
AWC/2007010653301
Enforcement Actions
Search in Undisclosed Settlements
Months
 
Undisclosed Settlements Archive
Tags
Email Bill Singer Connect with Bill Singer on Facebook Follow Bill Singer on Twitter Link up with Bill Singer on LinkedIn Join Bill Singer on Google+