Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
UNDISCLOSED SETTLEMENTS
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.
November 2011
October 2011
Jo Ann Marie Head
2009017530101
Michelle Yvette Mangum
AWC/2009017685301
September 2011
Jason Forsythe Jacobs
AWC/2010022262601
August 2011
James Spottswood Gibson
AWC/2009019827801
Robert Laurence Cochran
AWC/2009018883101
June 2011
April 2011
Earnest Flowers III
OS/2009016956601
John Milton Rose
AWC/2010022089101
March 2011
Donna Marlene DiMaggio
AWC/2009018193801
January 2011
Leslie David Kruse
AWC/2009020491201
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