Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
UNDISCLOSED SETTLEMENTS
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
Kenn Arden Hugos
AWC/2008016344401
September 2010
William Ray Collins Jr
AWC/2008013648001
August 2010
Jarem Barry Bingham
AWC/2009017621401
Samuel Kenneth Johnson
AWC/2009017292301
July 2010
Matthew James Ferber Sr.
AWC/2009017295301
June 2010
May 2010
Mark Francis Harper
2007011333401
April 2010
William Frederick Nord
AWC/2008012826101
March 2010
Jeffrey Allen Davis
OS/2008015704401
January 2010
Brian Havens
AWC/2008015121101
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+