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
Jesse John Hinkley
2007007358602/November 2009
Hinkley made material misrepresentations and omissions to customers. Hinkley engaged in improper telephone solicitations of potential customers in connection with the offer of securities, and made untrue statements of material facts and omitted to state material facts necessary to make the statements made, in light of the circumstances under which they were made, not misleading. Hinkley used unapproved, misleading telemarketing scripts in connection with the solicitations. The Hinkley failed to respond to requests from FINRA to appear for testimony.
Jesse John Hinkley: Barred
Tags:  Telemarketing    Scripts     |    In: Cases of Note : FINRA
Enforcement Actions