Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
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 2009
Rodney Lee Cantrell
AWC/2007009405901/November 2009
Cantrell caused unapproved advertisements that did not comply with FINRA’s standards for communications to be broadcast to the public. He failed to file with FINRA, within 10 days of first use, an advertisement concerning mutual funds and failed to include required references to his member firm’s Securities Investor Protection Corporation (SIPC)membership.
Rodney Lee Cantrell: Censured; Fined $10,000; Suspended 10 business days in all capacities
Tags:  Broadcast         |    In: Cases of Note : FINRA
Enforcement Actions